Publications

Showing 82 to 91 of 274 search results for mifid.

82. MiFiD: Regulation of markets in financial instruments

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

83. Information on Temporary Permission Regime (TPR) - January 2021

    FOI releases

    Published: 29/01/2021

    Last modified: 25/10/2022

    The FCA responds multiple questions on the Temporary Permissions Regime.

84. Information on open FCA enforcement investigations - December 2020

    FOI releases

    Published: 21/12/2020

    Last modified: 25/10/2022

    The FCA provides a breakdown by category of all open FCA investigations as at the 23 November 2020.

85. PS20/16: Updating the Dual-regulated firms Remuneration Code to reflect CRD V

    Policy statements

    Published: 17/12/2020

    Last modified: 25/02/2021

    This PS summarises the feedback we received during the consultation period and our response to it. We set out our final rules on remuneration for dual-regulated firms and revise our previous guidance.

86. Supervisory Statement on the Operation of the MiFID Markets Regime after the end of the EU withdrawal transition period [pdf]

    Documents

    Published: 16/12/2020

    This statement sets out how we will operate the pre- and post-trade transparency regime for the secondary trading of financial instruments after the transition period.

87. CP20/24: A new UK prudential regime for MiFID investment firms [pdf]

    Consultation papers

    Published: 14/12/2020

    We seek views on the first tranche of our proposed rules to introduce the UK Investment Firm Prudential Regime (IFPR), a new prudential regime for UK firms authorised under MiFID

88. PS21/6: Implementation of Investment Firms Prudential Regime

    Research Policy statements

    Published: 14/12/2020

    Last modified: 29/06/2021

    We are consulting on our first phase of proposed rules to introduce the UK Investment Firm Prudential Regime (IFPR). IFPR is a new prudential regime for UK firms authorised under the Markets in Financial Instruments Directive (MiFID).

89. Transcript: The new prudential regime for investment firms [pdf]

    Transcripts Investment management

    Published: 01/12/2020

    Last modified: 01/12/2020

    Transcript: The new prudential regime for investment firms

90. Number of UK investment firms and categories information - October 2020

    FOI releases

    Published: 05/10/2020

    Last modified: 25/10/2022

    FCA provides information on the number of UK investment firms and by category.

91. Trade transparency and market liquidity data 2019/20

    Data

    Published: 10/09/2020

    Last modified: 11/06/2021

    In the FCA's 2019/2020 business plan the FCA noted that it tracked the proportions of trades carried out on venues with varying levels of trade disclosure.

92. Potentially Anomalous Trading Ratio 2019/20

    Data

    Published: 10/09/2020

    Last modified: 11/06/2021

    The FCA committed to developing and publishing additional measures that will further illustrate the state of UK markets.