Publications

Showing 262 to 271 of 291 search results for mifid.

262. MiFiD: Regulation of markets in financial instruments

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

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

     Meeting minutes

     Published: 25/09/2015

     Last modified: 26/11/2015

     From the meeting held on 14 September 2015.

264. CP15/28: Quarterly Consultation Paper No. 10

     Consultation papers

     Published: 04/09/2015

     Last modified: 13/01/2017

     Since publishing our consultation, the MiFID II Delegated Regulation has been published and it now makes specific reference to the identification of the subject of a firm’s suitability assessment where ... As such, we concluded that it would not be

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

     Meeting minutes

     Published: 10/08/2015

     Last modified: 26/11/2015

     Held on 17 July 2015

266. Tied Agent Notification Form [docx]

     Forms

     Published: 01/07/2015

     This form should be used to notify the FCA when a UK firm intends to use a tied agent established in the territory of another EEA state.

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

     Meeting minutes

     Published: 29/06/2015

     Last modified: 29/06/2015

     Held on 8 June 2015

268. mifid-ii-timeline.pdf [pdf]

     Documents

     Published: 26/03/2015

     Last modified: 26/03/2015

269. DP15/3: Developing our approach to implementing MiFID II conduct of business and organisational requirements [pdf]

     Discussion papers

     Published: 26/03/2015

     Last modified: 26/03/2015

270. DP15/3: Developing our approach to implementing MiFID II conduct of business and organisational requirements

     Discussion papers

     Published: 26/03/2015

     Last modified: 03/11/2016

     DP15/3: Developing our approach to implementing MiFID II conduct of business and organisational requirements. ... For more information see a timeline of MiFID II implementation and read our pages on MiFID II.

271. Summary of ESMA’s Market Data Reporting Proposals - February 2015 [pdf]

     Systems information

     Published: 09/03/2015

     Last modified: 03/08/2016

272. TR15/2: Structured Products: Thematic Review of Product Development and Governance

     Thematic reviews

     Published: 05/03/2015

     Last modified: 29/08/2025

     Read about the FCA's work in the structured products market to better understand consumer behaviour and how firms approach product development and governance.