Publications

Showing 72 to 81 of 169 search results for mifid II.

72. MiFiD: Regulation of markets in financial instruments

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

73. Dear CEO letter - Payment for Order Flow [pdf]

    Dear CEO letters

    Published: 13/12/2017

    FCA’s views on PFOF in the context of the evolving landscape under MiFID II.

74. Notification form for changes to the membership of the management body (Annex III) form [docx]

    Forms

    Published: 11/12/2017

    Last modified: 31/08/2022

    MiFID II Notification form for changes to the membership of the management body (Annex III) form

75. Trading Venue Notifications (RMs, MTFs, OTFs) [pdf]

    Documents

    Published: 06/11/2017

    Trading venue MiFID notification and application guide.

76. Trading venue reporting form – MiFID II Article 32/52 trading suspensions, removals and restorations [docx]

    Forms

    Published: 06/11/2017

    UK trading venues must communicate the decisions to suspend, remove or restore a financial instrument (and any relevant related derivatives) from trading to the FCA.

77. CP17/34: Joint PRA and FCA form, PRA Rulebook, and FCA Handbook changes - MiFID II, IDD and BMR amendments

    Consultation papers

    Published: 03/10/2017

    Last modified: 03/10/2017

    We are jointly consulting with the PRA on proposed changes to forms used by MiFID investment firms.

78. PRA CP18/17, FCA CP17/34: Occasional Consultation Paper [pdf]

    Consultation papers

    Published: 03/10/2017

79. PS17/21: Insurance Distribution Directive implementation – Feedback to CP17/7 and near-final rules

    Policy statements

    Published: 25/09/2017

    Last modified: 17/07/2026

    The FCA sets out near final rules for the implementation of the Insurance Distribution Directive (IDD).

80. MiFID II Systematic Internaliser and Electronic Trading Notification Guide [pdf]

    Systems information

    Published: 11/09/2017

    This guide is designed to assist with the submission of the Systematic Internaliser Notification and the Electronic Trading Notification form.

81. PS17/27: Insurance Distribution Directive implementation – Feedback to CP17/23 and near-final rules

    Policy statements

    Published: 24/07/2017

    Last modified: 01/06/2018

    This is our second Policy Statement setting out near-final rules for the implementation of the Insurance Distribution Directive (IDD).

82. MiFID II passporting application form: service passport [pdf]

    Forms

    Published: 17/07/2017

    MiFID II notice of intention to provide cross-border services or to amend existing cross-border services passport