Publications

Showing 231 to 240 of 290 search results for MiFID.

231. Slides from the Transaction Reporting Forum December 2016 [pdf]

     Meeting minutes

     Published: 11/01/2017

     Event held on 5 and 8 December 2016

232. mifid-ii-general-guidance.pdf [pdf]

     Documents

     Published: 03/01/2017

     Last modified: 10/05/2018

233. Pre-trade transparency waivers [pdf]

     Correspondence

     Published: 19/12/2016

     On 19 December 2016 ESMA published Q&A on the process of how it delivers opinions to national competent authorities on pre-trade transparency waivers. In light of this we have written to UK operators of trading venues. This letter is relevant to

234. CP16/43: Markets in Financial Instruments Directive II implementation – Consultation Paper IV [pdf]

     Consultation papers

     Published: 16/12/2016

     We are consulting on our fourth set of implementation proposals for MiFID II and seeking views on our proposed changes to the FCA Handbook.

235. CP16/43: Markets in Financial Instruments Directive II implementation – Consultation Paper IV

     Consultation papers

     Published: 16/12/2016

     Last modified: 20/02/2017

     We are consulting on our fourth set of implementation proposals for MiFID II and seeking views on our proposed changes to the FCA Handbook.

236. CP16/40: Enhancing conduct of business rules for firms providing contract for difference products to retail clients

     Consultation papers

     Published: 06/12/2016

     Last modified: 09/03/2017

     This consultation outlines our concerns around increasing evidence of poor conduct and risks to investor protection from retail contracts for differences (CFDs) and proposes a package of policy measures designed to address those risks.

237. Market Interface Specification (MIS) confidentiality agreement [docx]

     Forms

     Published: 31/10/2016

     Last modified: 03/04/2019

     Entities wishing to become submitting entities under MiFID II need to complete a confidentiality agreement to request a copy of the Market Interface Specification (MIS).

238. Minutes of the MiFID II implementation: Trade Association Roundtable, September 2016 [pdf]

     Meeting minutes

     Published: 13/10/2016

     From the meeting held on 6 September 2016.

239. CP16/29: Markets in Financial Instruments Directive II implementation – Consultation Paper III [pdf]

     Consultation papers

     Published: 29/09/2016

     We are consulting on our third set of implementation proposals for MiFID II and seeking views on our proposed changes to the FCA Handbook.

240. Minutes of the MiFID II implementation: Trade Association Roundtable, August 2016 [pdf]

     Meeting minutes

     Published: 31/08/2016

     From the meeting held on 3 August 2016.