Publications

Showing 251 to 260 of 290 search results for MiFID.

251. TR16/1: Assessing suitability: Research and due diligence of products and services

     Thematic reviews

     Published: 19/02/2016

     Last modified: 29/08/2025

     Thematic review of the research and due diligence processes carried out by advisory firms on the products and services they recommend to retail clients.

252. Minutes of the MiFID II implementation: trading venue roundtable, February 2016 [pdf]

     Meeting minutes

     Published: 18/02/2016

     Last modified: 18/02/2016

     From the meeting held on 5 February 2016

253. Minutes of the MiFID II implementation roundtable January 2016 [pdf]

     Meeting minutes

     Published: 08/01/2016

     Last modified: 08/01/2016

     From the meeting held on 6 January 2016

254. CP15/43: Markets in Financial Instruments Directive II Implementation – Consultation Paper I [pdf]

     Consultation papers

     Published: 15/12/2015

     Last modified: 15/12/2015

     We set out our implementation proposals, and seek views on the proposed changes to the FCA Handbook.

255. CP15/43: Markets in Financial Instruments Directive II Implementation – Consultation Paper I

     Consultation papers

     Published: 15/12/2015

     Last modified: 25/09/2025

     We set out our implementation proposals, and seek views on the proposed changes to the FCA Handbook.

256. TR15/12: Wealth management firms and private banks: suitability of investment portfolios

     Thematic reviews

     Published: 09/12/2015

     Last modified: 29/08/2025

     Findings from FCA's review of suitability of retail investment portfolios provided by wealth management and private banking firms, includes examples of good and poor practice.

257. Minutes of the MiFID II implementation roundtable: November 2015 [pdf]

     Meeting minutes

     Published: 08/12/2015

     Last modified: 08/12/2015

     From the meeting held on 30 November 2015

258. Asset management market study

     Market studies

     Published: 18/11/2015

     Last modified: 24/09/2018

     We have published the final findings of our asset management market study. As part of this, we set out a package of remedies to address the concerns identified.

259. CP15/34: Regulatory fees and levies: policy proposals for 2016/17

     Consultation papers

     Published: 05/11/2015

     Last modified: 05/11/2015

     recover the data reporting costs associated with market monitoring under the Markets in Financial Instruments Directive (MiFID II) and Markets in Financial Instrument Regulation (MiFIR).

260. Minutes of the meeting of the MiFID II implementation roundtable [pdf]

     Meeting minutes

     Published: 04/11/2015

     Last modified: 04/11/2015

     From the meeting held on 22 October 2015.