Publications

Showing 52 to 61 of 291 search results for mifid.

52. MiFiD: Regulation of markets in financial instruments

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

53. Consumer Investments Strategy - 2 Year Update

    Corporate documents

    Published: 08/12/2023

    Last modified: 13/05/2024

    The FCA provides a 2 year update on its progress against the workstreams and outcomes it committed to in its Consumer Investments Strategy in September 2021.

54. IFPR implementation observations: quantifying threshold requirements and managing financial resources – concluding report

    Multi-firm reviews

    Published: 27/11/2023

    Last modified: 27/11/2023

    Further observations on how firms are implementing requirements on the Internal Capital Adequacy and Risk Assessment process and reporting under the Investment Firms Prudential Regime.

55. Market Watch 74

    Newsletters

    Published: 25/07/2023

    Last modified: 25/07/2023

    n this Market Watch, we describe some of our recent supervisory observations, covering RTS 22 transaction reporting and the submission of financial instrument reference data under RTS 23.

56. Liquidity Management multi-firm review

    Multi-firm reviews

    Published: 06/07/2023

    Last modified: 06/07/2023

    Informing the asset management industry of the conclusions and recommendations from our multi-firm review on fund liquidity management.

57. PS23/11: Guidance on the trading venue perimeter

    Policy statements

    Published: 05/07/2023

    Last modified: 05/07/2023

    Consultation on new guidance on the regulatory perimeter for trading venues

58. Information on firms selling CFD products - May 2023

    FOI releases

    Published: 22/05/2023

    Last modified: 01/01/2025

    FCA provides information on firms selling CFD products.

59. Business Plan 2023/24

    Business plans

    Published: 04/04/2023

    Last modified: 02/07/2024

    The FCA's Business Plan details the work it will do over the next 12 months to help deliver the commitments in its Strategy.

60. Information on enforcement actions for non-compliant Personal Account Dealing (PAD) and MiFID II transaction reporting - March 2023

    FOI releases

    Published: 06/03/2023

    Last modified: 31/12/2024

    FCA provide information on enforcement actions for non-compliant Personal Account Dealing (PAD) and MiFID II transaction reporting - March 2023.

61. IFPR implementation observations: quantifying threshold requirements and managing financial resources

    Multi-firm reviews

    Published: 27/02/2023

    Last modified: 09/03/2023

    Firms should consider these and how they can strengthen their processes.

62. Information on statistical breakdown of all MDP rejection codes for MIFID RTS22 - January 2023

    FOI releases

    Published: 30/01/2023

    Last modified: 31/12/2024

    FCA provides information on statistical breakdown of all MDP rejection codes for MIFID RTS22.