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Showing 91 to 100 of 290 search results for MiFID.
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Breakdown of MDP rejection codes for MIFID RTS22 - March 2021
The FCA provides a breakdown of all MDP rejection codes for MIFID RTS22 Transaction Report rejections for 2018, 2019, 2020. -
Statements of Policy on the operation of the MiFID Transparency Regime - Double Volume Cap [pdf]
This policy was updated to reflect the Double Volume Cap in March 2021. -
MiFID II: product governance review
In this MiFID II review we looked at product governance in a sample of 8 asset management firms. -
Implementing Technology Change
This review sets out the findings from our cross-Financial Services change management review which looked at how financial firms manage technology change, the impact of change failures and the practices utilised within the industry to help reduce -
Information on Alternative Investment Fund Manager (AIFM) populations - February 2021
The FCA provides data on FCA authorised Alternative Investment Fund Manager (AIFM) firms. -
Firms continuing operating in the UK under the Temporary Permissions Regime - February 2021
The FCA provides information about firms that notified the FCA they wished to continue operating in the UK at the end of the Brexit transitional period. -
Information on Temporary Permission Regime (TPR) - January 2021
The FCA responds multiple questions on the Temporary Permissions Regime. -
Information on open FCA enforcement investigations - December 2020
The FCA provides a breakdown by category of all open FCA investigations as at the 23 November 2020. -
PS20/16: Updating the Dual-regulated firms Remuneration Code to reflect CRD V
This PS summarises the feedback we received during the consultation period and our response to it. We set out our final rules on remuneration for dual-regulated firms and revise our previous guidance. -
Supervisory Statement on the Operation of the MiFID Markets Regime after the end of the EU withdrawal transition period [pdf]
This statement sets out how we will operate the pre- and post-trade transparency regime for the secondary trading of financial instruments after the transition period.