Publications

Showing 112 to 121 of 291 search results for mifid.

112. MiFiD: Regulation of markets in financial instruments

     Markets in Financial Instruments Directive (MiFiD) information for investment firms and trading venues.

113. First supervisory notice 2020: F1 Markets Ltd [pdf]

     Supervisory notices

     Published: 01/06/2020

     This first supervisory notice concerns the FCA’s use of its power of intervention in respect of an inward service passported EEA investment firm for breaches of MiFID obligations. We imposed requirements on the firm to prevent it from providing

114. First supervisory notice 2020: Rodeler Ltd [pdf]

     Supervisory notices

     Published: 01/06/2020

     This first supervisory notice concerns the FCA’s use of its power of intervention in respect of an inward service passported EEA investment firm for breaches of MiFID obligations. We imposed requirements on the firm to prevent it from providing

115. First supervisory notice 2020: Hoch Capital Ltd [pdf]

     Supervisory notices

     Published: 01/06/2020

     This first supervisory notice concerns the FCA’s use of its power of intervention in respect of an inward service passported EEA investment firm for breaches of MiFID obligations. We imposed requirements on the firm to prevent it from providing

116. First supervisory notice 2020: Magnum FX Cyprus Ltd [pdf]

     Supervisory notices

     Published: 01/06/2020

     This first supervisory notice concerns the FCA’s use of its power of intervention in respect of an inward service passported EEA investment firm for breaches of MiFID obligations. We imposed requirements on the firm to prevent it from providing

117. MiFID Annex Form [docx]

     Forms

     Published: 29/05/2020

     Last modified: 02/03/2026

     Application for Authorisation.

118. Primary Market Bulletin Issue No. 28 coronavirus (Covid-19) update

     Newsletters

     Published: 27/05/2020

     Last modified: 07/07/2026

     This edition of the FCA’s Primary Market Bulletin covers financial reporting, going concern assessments and shareholder engagement.

119. Information on fines and active or closed investigations since January 2018 - April 2020

     FOI releases

     Published: 23/04/2020

     Last modified: 25/10/2022

     The FCA provides information on any fines levied and the number of active or closed investigations since January 2018 for breaching requirements under Directive 2014/65/EU (MiFID II) and Regulation (EU) No 600/2014 (MiFIR) to report RTS 24 order

120. Information on the reports of unauthorised business regarding the permission to manage investments - April 2020

     FOI releases

     Published: 09/04/2020

     Last modified: 25/10/2022

     The FCA provides information on the reports of unauthorised business regarding the permission to manage investments.

121. CP20/4: Quarterly Consultation Paper No 27

     Consultation papers

     Published: 06/03/2020

     Last modified: 03/07/2020

     Once a quarter, we consult on proposed miscellaneous amendments to our Handbook. These tend to be minor changes but we still want to get your feedback on our proposals.

122. Information on MiFID 2 transaction reporting - February 2020

     FOI releases

     Published: 07/02/2020

     Last modified: 25/10/2022

     FCA provides information on Mifid 2 transaction reporting.