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16 results found

Article

Katten Muchin Rosenman LLP | USA, United Kingdom, European Union | 8 Mar 2019

FCA Publishes Statement on Operation of UK MiFIR Transparency Following No-Deal Brexit

On March 4, the United Kingdom Financial Conduct Authority (FCA) published a document containing statements of policy on how it intends to operate

Article

Katten Muchin Rosenman LLP | USA | 25 May 2018

FCA Publishes Findings From Its Review of Automated Investment Services

On May 21, the UK Financial Conduct Authority (FCA) published a webpage on its findings from its review of firms offering automated investment

Article

Katten Muchin Rosenman LLP | USA | 12 Feb 2018

FCA Revises List of MiFID II Position Limits

The UK Financial Conduct Authority (FCA) has reviewed the bespoke position limits set for a number of commodity derivatives traded on UK venues

Article

Katten Muchin Rosenman LLP | USA | 19 Jan 2018

FCA Transaction Reporting Instrument Reference Data Errors and Omissions Form Now Available

On January 11, the UK Financial Conduct Authority (FCA) updated its webpage on instrument reference data to make available a new instrument reference

Article

Katten Muchin Rosenman LLP | USA | 12 Jan 2018

FCA Publishes Guidance and Updated Forms and Webpages Reflecting MiFID II Implementation

On January 3, the UK Financial Conduct Authority (FCA) published a document containing general guidance on the authorization process, forms and

Article

Katten Muchin Rosenman LLP | USA | 17 Nov 2017

FCA Publishes Further Set of Position Limits for Commodity Derivative Contracts

On November 15, the UK Financial Conduct Authority (FCA) updated its webpage (webpage) in connection with position limits for commodity derivative

Article

Katten Muchin Rosenman LLP | USA | 6 Oct 2017

ESMA Translations of Guidelines on MiFID II Reporting, Recordkeeping and Clock Synchronization

On October 2, the European Securities and Markets Authority (ESMA) published the official, finalized versions of its Guidelines on transaction

Article

Katten Muchin Rosenman LLP | USA | 15 Sep 2017

New FCA Webpage on Updates to MiFID Notifications Obligations

On September 11, the UK Financial Conduct Authority (FCA) published a new webpage with an update on MiFID II notification requirements and procedures

Article

Katten Muchin Rosenman LLP | USA | 1 Sep 2017

New FCA Web Page on Position Limits for Commodity Derivative Contracts Under MiFID II

On August 30, the UK Financial Conduct Authority (FCA) published a new web page on position limits for commodity derivative contracts under the

Article

Katten Muchin Rosenman LLP | USA | 21 Jul 2017

FCA Publishes MiFID II Passporting Forms

On July 17, the UK Financial Conduct Authority (FCA) published a new webpage on passporting under the revised Markets in Financial Instruments

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