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Showing 282 to 291 of 291 search results for mifid.
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MiFiD: Regulation of markets in financial instruments
Markets in Financial Instruments Directive (MiFiD) information for investment firms and trading venues. -
Variation of Permission (VOP) - Investment Business form [doc]
This is an application for the requirement below to be added to your firm’s Part 4A permissions, (if your firm does not do the MiFID investment service and activity placing of financial instruments without a firm commitment basis). -
PS13/5 Implementation of the Alternative Investment Fund Managers Directive
We are setting out our rules for implementing the Alternative Investment Fund Managers Directive (AIFMD) and responding to the feedback to our consultation. -
FSA CP13/9: Implementation of the Alternative Investment Fund Managers Directive Part 2
We are consulting on transposing the Alternative Investment Fund Managers Directive (AIFMD) in the UK. -
FSA - FG12/19: Summary of feedback received [pdf]
We received 10 responses to the consultation from firms and trade associations. None of them raised objections to the changes in our proposals. -
FSA - PS12/14 [pdf]
Policy FSA - PS12/14 - Firms give a Key Features Illustration (KFI) to consumers buying packaged products that do not come within the scope of the Markets in Financial Instruments Directive at the point of sale. -
FSA - CP12/10 [pdf]
Consultation FSA - CP12/10 - This Consultation Paper (CP) is a joint consultation between the FSA and the Financial Reporting Council (FRC). As well as updating the assumptions to be used for non-MiFID product projections and transfer value analysis -
FSA - FG12/7: Summary of feedback received [pdf]
Responses were received requesting clarification of the specific scenario this was intended to apply to and, more importantly, several responses were received that indicated that substantial systems changes would be required to comply with the -
FSA - GC11/24 [pdf]
The TRUP is intended to provide firms with sufficient guidance to make informed decisions about their transaction reporting obligations. It is not designed to be a comprehensive list of how firms should report in every situation. -
FSA - Handbook Notice 113 [pdf]
On 22 September 2011 the FSA Board made changes to the Handbook in 10 instruments which make minor administrative corrections to the Handbook, none of which represents any change in FSA policy -
MiFID Permissions and Notifications guide [pdf]