Publications

Showing 42 to 51 of 169 search results for mifid II.

42. MiFiD: Regulation of markets in financial instruments

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

43. 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

44. 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.

45. 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.

46. MiFID Checklist: Retail [docx]

    Forms

    Published: 09/12/2019

    Last modified: 13/12/2021

    Application for authorisation

47. Implementing MiFID II – multi-firm review of research unbundling reforms

    Multi-firm reviews

    Published: 19/09/2019

    Last modified: 29/08/2025

    Our rules to implement the Markets in Financial Instruments Directive (MiFID) II require asset managers to explicitly pay for third-party research, and brokers to price and provide research separately.

48. Abnormal Trading Volume Ratio

    Data

    Published: 09/07/2019

    Last modified: 06/01/2026

    In the FCA's 2018/19 Annual Report it published a new measure of market cleanliness – the Abnormal Trading Volume ratio (ATV).

49. Payment for order flow multi-firm review findings

    Multi-firm reviews

    Published: 23/04/2019

    Last modified: 23/04/2019

    This final report on our recent supervisory work on conflicts of interest and payment for order flow (PFOF) follows the preliminary findings published in Market Watch 56 in September 2018.

50. Primary Market Bulletin Issue 23 [pdf]

    Newsletters

    Published: 16/04/2019

    This edition of the FCA’s Primary Market Bulletin covers periodic financial information and inside information, MiFID II rules, the IPO process and prospectus regulation.

51. MiFID II costs and charges disclosures review findings

    Multi-firm reviews

    Published: 28/02/2019

    Last modified: 28/02/2019

    As part of our supervision work, we looked at the costs and charges disclosures of a sample of 50 firms authorised as MiFID investment firms in the retail investments sector. We wanted to understand if firms were complying with the new rules and

52. Review on disclosure of costs by asset managers

    Multi-firm reviews

    Published: 28/02/2019

    Last modified: 18/02/2026

    We have reviewed how asset managers calculate and disclose transaction costs and how effective overall cost disclosures are.