Publications

Showing 71 to 80 of 290 search results for MiFID.

71. Application under MIFID 4-12-66r additional firm questions [docx]

    Forms

    Published: 11/02/2022

    Application under MIFIDPRU 4.12.66R for permission to use sensitivity models to calculate interest rate risk on derivative instruments in accordance with article 331(1) of the UK CRR – Additional firm questions

72. Application under MIFID 4-14-6r additional firm questions [docx]

    Forms

    Published: 11/02/2022

    Application under MIFIDPRU 4.14.6R for permission to exclude transactions with some counterparties from K-TCD requirement -Additional firm questions.

73. MDP rejection codes for MIFID RTS22 Transaction Report rejections for 2021 - February 2022

    FOI releases

    Published: 01/02/2022

    Last modified: 25/10/2022

    The FCA provides a breakdown of all MDP rejection codes for MIFID RTS22 Transaction Report rejections for 2021.

74. Article 4 Information Form [docx]

    Forms

    Published: 15/12/2021

    MiFID members of the management body and key function holders - Article 4 Information Form (SMR)

75. Long Form A - MiFID [docx]

    Forms

    Published: 09/12/2021

    Last modified: 16/07/2026

    Long Form A - UK and Overseas Firms (not incoming EEA) for MiFID authorisation applications.

76. PS21/20: Changes to UK MIFID's conduct and organisational requirements [pdf]

    Policy statements

    Published: 30/11/2021

    This Policy Statement summarises the feedback received to CP21/9 and outlines our final position and Handbook rule changes to UK MIFID's conduct and organisational requirements.

77. PS21/20: Changes to UK MiFID’s conduct and organisational requirements

    Policy statements

    Published: 30/11/2021

    Last modified: 30/11/2021

    We set out our final policy position and rules on changes to the research rules and removal of best execution reporting in RTS 27 and RTS 28 following feedback to CP21/9.

78. PS21/17: A new UK prudential regime for MiFID investment firms  

    Policy statements

    Published: 26/11/2021

    Last modified: 31/12/2021

    This is the third in a series of policy statements that set out our rules to introduce the Investment Firms Prudential Regime IFPR regime.

79. UK MiFID transparency calculations

    Data

    Published: 05/11/2021

    Last modified: 12/03/2026

    This page contains updates on the UK MiFID transparency calculations and the latest published data.

80. A strategy for positive change: our ESG priorities

    Corporate documents

    Published: 03/11/2021

    Last modified: 27/07/2026

    The FCA's environmental, social and governance (ESG) strategy sets out our target outcomes and the actions we expect to take to deliver these, to support the transition to a net zero economy.