Legislation and relevant papers - UK
Legislation and relevant papers - UK
Member States must change their laws and regulations to give effect to the provisions of MiFID II. As MiFIR is a directly applicable EU Regulation, there is no discretion in relation to its implementation, except where its text indicates otherwise.
HM Treasury is consulting on most of the changes to UK legislation required to implement MiFID II and accommodate MiFIR. The FCA and PRA are also consulting on the changes that need to be made to their respective Handbook / Rulebook rules.
HM Treasury
FCA
The FCA MiFID II consultation: 10 things you should know
- FCA Discussion Paper 15/3: Developing our approach to implementing MiFID II conduct of business and organisational requirements (March 2015)
- FCA Consultation Paper 15/43: MiFID II implementation (December 2015)
- Minutes of the MiFID II Implementation: Trade Association Roundtable (January 2016)
- Minutes of the MiFID II Implementation: Trade Association Roundtable (February 2016)
- Minutes of the MiFID II implementation: Trade Association Roundtable (April 2016)
- Minutes of the MiFID II implementation: Trade Association Roundtable (May 2016)
- FCA Consultation Paper 16/19: MiFID II Implementation (July 2016)
- Minutes of the MiFID II implementation: Trade Association Roundtable (August 2016)
- Market data reporting and MDP (September 5, 2016)
- FCA Consultation Paper 16/29: MiFID II implementation (September 29, 2016)
- FCA Consultation Paper 16/43: MiFID II implementation (December 16, 2016)
- FCA guide to applications and notifications under MiFID II (January 13, 2017)
- FCA releases MiFID II market data processor application form (January 30, 2017)
- FCA Policy Statement 17/5: MiFID II implementation (March 31, 2017)
- FCA Consultation Paper 17/8: MiFID II implementation - Consultation Paper V (including changes to conduct rules for Occupational Pension Scheme firms) (March 31, 2017)
- FCA: MiFID II Notification form: MiFID II structured deposits (April 3, 2017)
- FCA reporting instructions for trading venues and investment firms submitting position reports under MiFID II, 3 May 2017
- MiFID II: applications for permissions needed now, 19 June 2017
- FCA Policy Statement II 17/14 : MiFID II implementation, 3 July 2017
- FCA Consultation Paper 17/19: MiFID II Implementation, 3 July 2017
- FCA: Passporting under MiFID II, 17 July 2017
- FCA updates webpage on data reporting services providers under MiFID II, 17 July 2017
- New FCA MiFID II passporting forms, 17 July 2017
- New FCA MiFID II webpage - MDP entity portal, 18 July 2017
- FCA notification guide for firms and individuals wanting to rely on ancillary activity exemption under MiFID II, 19 July 2017
- FCA MiFID II: applications received after 3 July 2017, 25 July 2017
- FCA updates webpage on MiFID II commodity derivatives position limits and reporting, 4 August 2017
- FCA updated webpage: Applications and notifications under MiFID II, 8 August 2017
- FCA Q&As on MiFID II commodity derivatives, 9 August 2017
- FCA updates webpage on MiFID II applications and notifications, 8 August 2017
- FCA Q&As on MiFID II commodity derivatives, 9 August 2017
- New FCA webpage on position limits for commodity derivatives contracts under MiFID II, 30 August 2017
- FCA notice of intention to cancel arrangements to facilitate the access to an MTF or an OTF from another EEA State in accordance with MiFID II , 1 September 2017
- FCA new webpage: Update to MiFID II notifications obligations for firms, 11 September 2017
- MiFID II systematic internaliser and electronic trading notification guide, 11 September 2017
- FCA: MiFID II: Authorisation and variation of permissions, 18 September 2017
- FCA speech on recent enforcement trends, 20 September 2017
- FCA commodity position limits exemption application guide, September 2017
- FCA statement on the work plan for ESMA opinions on pre-trade transparency waivers and commodity position limits, 28 September 2017
- FCA position limits for commodity derivative contracts, 26 October 2017
- FCA commodity position reports: Reporting instructions for trading venues and investment firms submitting position reports, 26 October 2017
- FCA statement on MiFID II inducements and research, 26 October 2017
- FCA guidance on MiFID II trading venue notifications for regulated markets, multilateral trading facilities, organised trading facilities, 6 November 2017
- FCA draft trading venue reporting form - MiFID II Article 32/52 trading suspensions, removals and restorations, 6 November 2017
- FCA trading halts information variables form, 6 November 2017
- FCA updated webpage on MiFID II notifications obligations for firms, 6 November 2017
- FCA updated page on commodity derivatives and introduction of position limits and reporting regime, 23 November 2017
- FCA publishes a further set of position limits for commodity derivative contracts, 28 November 2017
- FCA update to MiFID II notifications obligation for firms, 6 December 2017
- FCA published a table with position limits for commodity derivative contracts, 7 December 2017
- FCA response to ESMA's public statement on LEIs, 20 December 2017
- FCA new webpage on MiFID II Article 32/52 actions on security statuses (trading suspensions, removals and restorations), 21 December 2017
- FCA statement on transitional arrangements for trading venues under Article 54(2) of MiFIR, 3 January 2018
- FCA webpage on change of legal status, 2 January 2018
- FCA webpage on transaction reporting, 3 January 2018
- FCA webpage on market data regimes, 3 January 2018
- FCA webpage on change in control, 3 January 2018
- FCA table on technical standards under MiFID II and MiFIR, 3 January 2018
- FCA webpage on structured deposits, 3 January 2018
- FCA MiFID II guidance on authorised process, forms and prudential categories, 3 January 2018
- FCA publishes position limits for commodity derivative contracts, 25 January 2018
- FCA list of cooperation agreements with third country regulators in context of outsourcing portfolio management services under MiFID II, June 14, 2018
PRA
- PRA Consultation Paper 9/16: Implementation of MiFID II: Part 1(March, 2016)
- PRA Policy Statement 29/16: MiFID II: Response to CP9/16 (October 26, 2016)
- PRA Consultation Paper 43/16: Implementation of MiFID II: Part 2 (November 25, 2016)
- PRA Policy Statement 9/17: Implementation of MiFID II: Part 2 (April 28, 2017)
- PRA publishes MiFID II Passporting Amendment Instrument 2018, May 21, 2018
