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Showing 191 to 200 of 290 search results for MiFID.
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PS17/5: Markets in Financial Instruments Directive II implementation – Policy Statement I
Firms need to continue with their preparations for the application of MiFID II on 3 January 2018. ... Firms also need to respond to our fifth Consultation Paper (CP17/8) on MiFID II implementation which is being published at the same time as this Policy -
PS17/5: Markets in Financial Instruments Directive II implementation – Policy Statement I [pdf]
This is our first policy statement setting out our near final rules for our implementation of MiFID II. -
CP17/8: Markets in Financial Instruments Directive II Implementation – Consultation Paper V [pdf]
We are consulting on our fifth set of implementation proposals for MiFID II and seeking views on the proposed changes to the FCA Handbook. -
CP17/8: Markets in Financial Instruments Directive II Implementation – Consultation Paper V
We are consulting on our fifth set of implementation proposals for MiFID II and seeking views on the proposed changes to the FCA Handbook. -
Investment managers still failing to ensure effective oversight of best execution
We outline findings from supervisory work looking at how investment managers deliver best execution for their clients. -
Firms continue to fail to meet our expectations on their use of dealing commission
We summarise our findings from a review that analysed dealing commission expenditure across 31 investment managers (covering asset managers, wealth managers and host-authorised corporate director providers) between 2012 and 2015. -
Direction under section 55U and section 60 and related provisions of the Financial Services and Markets Act 2000 [pdf]
The purpose of this Direction is to: (a) create the “Long Form A – UK and Overseas Firms (not Incoming EEA) for MiFID authorisation applications”; (b) amend the Supervision manual to add the “Long Form A – UK and Overseas Firms (not -
Market Data Processor (MDP) on-boarding application form [doc]
This MDP on-boarding application form is used to advise us what MiFID II data types an entity will be submitting. -
MiFID Annex Notes [docx]
MiFID Annex Notes -
MiFID Annex I: Application form for a data reporting services provider notes [docx]
This guidance provides clarification on completing the application for a DRSP.