Publications

Showing 82 to 91 of 169 search results for mifid II.

82. MiFiD: Regulation of markets in financial instruments

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

83. MiFID II passporting application form: Branch passport [pdf]

    Forms

    Published: 17/07/2017

    MiFID II notice of intention to establish a branch or change branch particulars.

84. MiFID II passporting application form: MTF/OTF notification [pdf]

    Forms

    Published: 17/07/2017

    MiFID II notice of intention to provide arrangements to facilitate the access to an MTF or an OTF from another EEA State or to amend details of these arrangements.

85. MiFID II passporting application form: Tied agent notification [pdf]

    Forms

    Published: 17/07/2017

    MiFID II notice of intention to use a tied agent established in another EEA state or amend EEA tied agent details.

86. PS17/14: Markets in Financial Instruments Directive II implementation – Policy Statement II

    Policy statements

    Published: 03/07/2017

    Last modified: 03/07/2017

    This Policy Statement covers the MiFID II rules of most relevance to consumers. ... Firms must continue with their preparations for the application of MiFID II on 3 January 2018.

87. CP17/19: Markets in Financial Instruments Directive II Implementation – Consultation Paper VI

    Consultation papers

    Published: 03/07/2017

    Last modified: 03/07/2017

    We are consulting on our sixth set of implementation proposals for MiFID II and seeking views on the proposed changes to the FCA Handbook.

88. PS17/14: Markets in Financial Instruments Directive II implementation – Policy Statement II [pdf]

    Policy statements

    Published: 03/07/2017

    Final policy statement setting out final rules for our implementation of MiFID II.

89. CP17/19: Markets in Financial Instruments Directive II Implementation – Consultation Paper VI [pdf]

    Consultation papers

    Published: 03/07/2017

    We are consulting on our sixth set of implementation proposals for MiFID II and seeking views on the proposed changes to the FCA Handbook.

90. CFD firms fail to meet our expectations on appropriateness assessments

    Multi-firm reviews

    Published: 29/06/2017

    Last modified: 29/06/2017

    Findings from our review of appropriateness assessments for sales of contracts for difference (CFD) products, through a sample of 23 firms.

91. Assessing Suitability Review

    Multi-firm reviews

    Published: 18/05/2017

    Last modified: 29/08/2025

    This report sets out the findings from our review into the market for pensions and investment advice.

92. Minutes of the MiFID II implementation: Trade Association Roundtable, February 2017 [pdf]

    Meeting minutes

    Published: 31/03/2017

    From the meeting held on 23 February 2017.