Publications

Showing 42 to 51 of 274 search results for mifid.

42. MiFiD: Regulation of markets in financial instruments

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

43. 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.

44. 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.

45. 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.

46. Market Watch 72

    Newsletters

    Published: 11/01/2023

    Last modified: 11/01/2023

    In this Market Watch, we outline our recent findings on the quality of service provided by Approved Publication Arrangements (APAs) and Approved Reporting Mechanisms (ARMs), collectively known as Data Reporting Services Providers (DRSPs), to clients

47. Consumer Investments Strategy – 1 year update

    Corporate documents

    Published: 18/10/2022

    Last modified: 15/06/2023

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

48. Market Watch 70

    Newsletters

    Published: 03/10/2022

    Last modified: 03/10/2022

    In this Market Watch, we outline recent observations on the transaction reporting and instrument reference data regimes. These will be of interest to investment firms, credit institutions, trading venues, systematic internalisers, and approved

49. Trade transparency and market liquidity data 2021/22

    Data

    Published: 19/07/2022

    Last modified: 19/07/2022

    The FCA's summarises its findings on its interventions on trade transparency in 2021/22.

50. Our perimeter report

    Corporate documents

    Published: 15/07/2022

    Last modified: 25/03/2025

    Our perimeter (remit) determines the activities we regulate and the level of protection consumers can expect when they buy financial services and products

51. mifid-intragroup-notification-for-change-in-controller.doc [doc]

    Forms

    Published: 27/06/2022

    Last modified: 17/01/2025

    mifid-intragroup-notification-for-change-in-controller.doc

52. MiFID Annex for VOP Application Notes [docx]

    Forms

    Published: 27/05/2022

    Last modified: 27/05/2022

    MiFID Annex for VOP Application Notes