Publications

Showing 81 to 90 of 290 search results for MiFID.

81. Consumer Investments: Strategy and Feedback Statement

    Corporate documents

    Published: 14/09/2021

    Last modified: 29/12/2025

    The FCA sets out its view of consumer harm in this market and its 3-year strategy to address this. 

82. CP21/28: New cancellation and variation power: Changes to the Handbook and Enforcement Guide [pdf]

    Consultation papers

    Published: 09/09/2021

    We are seeking views on the third tranche of our proposed rules to introduce the Investment Firms Prudential Regime (IFPR), a new prudential regime for UK firms authorised under the Markets in Financial Instruments Directive (MiFID).

83. CP21/26: A new UK prudential regime for MiFID investment firms [pdf]

    Consultation papers

    Published: 06/08/2021

    We are seeking views on the third tranche of our proposed rules to introduce the Investment Firms Prudential Regime a new prudential regime for UK firms authorised under the Markets in Financial Instruments Directive.

84. PS21/9: Implementation of Investment Firms Prudential Regime

    Policy statements

    Published: 26/07/2021

    Last modified: 26/07/2021

    This is the second of the Policy Statements we will issue to introduce the Investment Firm Prudential Regime.

85. Trade transparency and market liquidity data 2020/21

    Data

    Published: 15/07/2021

    Last modified: 15/07/2021

    Our 2020/21 trade transparency and market liquidity data.

86. Review of host Authorised Fund Management firms

    Multi-firm reviews

    Published: 30/06/2021

    Last modified: 05/08/2021

    We wanted to test the viability of the host AFM business models and assess whether conflicts of interests were being effectively managed.

87. CP21/9: Changes to UK MIFID’s conduct and organisational requirements [pdf]

    Consultation papers

    Published: 28/04/2021

    FCA consultation paper (CP21/9) on changes to UK MIFID’s conduct and organisational requirements.

88. CP21/7: A new UK prudential regime for MiFID investment firms [pdf]

    Consultation papers

    Published: 19/04/2021

    We are seeking views on the second tranche of our proposed rules to introduce the Investment Firm Prudential Regime.

89. CP21/7 A new UK prudential regime for MiFID investment firms

    Consultation papers

    Published: 19/04/2021

    Last modified: 01/06/2021

    We are consulting on our second phase of proposed rules to introduce the UK Investment Firm Prudential Regime (IFPR). IFPR is a new prudential regime for UK firms authorised under the Markets in Financial Instruments Directive (MiFID).

90. PS21/4: Extension of Annual Financial Crime Reporting Obligation

    Policy statements

    Published: 30/03/2021

    Last modified: 29/03/2022

    This PS summarises our proposal to increase the number of firms who need to submit the annual financial crime report, which we refer to as ‘REP-CRIM’.