FCA CP · FCA
CP15/43: Markets in Financial Instruments Directive II Implementation - Consultation Paper I
Published
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Consults on the first part of MiFID II implementation, on regulating secondary trading of financial instruments, with a draft MiFID II Handbook Guide. Closes 8 March 2016.
Written from the Regulation Tomorrow post (Norton Rose Fulbright) that links this paper, not from the paper itself.
Details
| Reference | CP15/43 |
|---|---|
| Issuer | FCA |
| Published | Date pending: it is added once checked on the FCA’s page |
Provisions it relates to
Not linked to a provision yet.
FCA Handbook
Handbook provisions the Handbook lists against this paper (only those linked to MiFID II or MiFIR material are shown).
- SYSC 4.1.-2G Application to a common platform firm
- SYSC 4.1.-1G Application to a MiFID optional exemption firm and to a third country firm
- SYSC 4.1.1R General requirements
- SYSC 4.1.2R General requirements
- SYSC 4.1.6R Business continuity
- SYSC 4.1.8G Business continuity
- SYSC 4.2.1R General requirement
- SYSC 4.2.2R Composition of management
- SYSC 4.2.6R Alternative arrangements
- SYSC 4.3A.1R Management body
- SYSC 4.3A.1AR Management body
- SYSC 4.3A.2R Management body
- SYSC 4.3A.3R Management body
- SYSC 4.3A.4R Management body
- SYSC 4.3A.5R Management body
- SYSC 4.3A.6R Management body
- SYSC 4.3A.7R Management body
- SYSC 4.3A.8R Nomination Committee
- SYSC 4.3A.9R Nomination Committee
- SYSC 4.3A.10R Nomination Committee
- SYSC 5.1.-2G Application to a common platform firm
- SYSC 5.1.-1G Application to an MiFID optional exemption firm and to a third country firm
- SYSC 5.1.1R Competent employees rule
- SYSC 5.1.5AAR Knowledge and competence
- SYSC 5.1.5ABR Knowledge and competence
- SYSC 5.1.6R Segregation of functions
- SYSC 5.1.7R Segregation of functions
- SYSC 5.1.12R Awareness of procedures: common platform firm and management company
- SYSC 5.1.13R General
- SYSC 5.1.14R General
- SYSC 6.1.-2G Application to a common platform firm
- SYSC 6.1.-1G Application to an MiFID optional exemption firm and to a third country firm
- SYSC 6.1.1R Adequate policy and procedures
- SYSC 6.2.1R
- SYSC 6.2.1BG
- SYSC 6.2.2G
- SYSC 7.1.-2G Application to a common platform firm
- SYSC 7.1.-1G Application to an MiFID optional exemption firm and to a third country firm
- SYSC 7.1.3R Risk assessment
- SYSC 7.1.5R Risk management
- SYSC 7.1.6R Risk management
- SYSC 7.1.7R Risk assessment
- SYSC 7.1.8G Risk control: additional provisions
- SYSC 7.1.21R Additional rules for CRR firms
- SYSC 8.1.-2G Application to a common platform firm
- SYSC 8.1.-1G Application to an MiFID optional exemption firm and to a third country firm
- SYSC 8.1.1R General requirements
- SYSC 8.1.3G General requirements
- SYSC 8.1.4R Scope of critical and important operational functions
- SYSC 8.1.5R Scope of critical and important operational functions
- SYSC 8.1.6R Outsourcing critical or important operational functions
- SYSC 8.1.7R Outsourcing critical or important operational functions
- SYSC 8.1.8R Outsourcing critical or important operational functions
- SYSC 8.1.9R Outsourcing critical or important operational functions
- SYSC 8.1.10R Outsourcing critical or important operational functions
- SYSC 8.1.12G Outsourcing critical or important operational functions
- SYSC 9.1.-2G Application to a common platform firm
- SYSC 9.1.-1G Application to an MiFID optional exemption firm and to a third country firm
- SYSC 9.1.1AR General requirements
- SYSC 9.1.6G Guidance on record-keeping
- SYSC 10.1.-2G Application to a common platform firm
- SYSC 10.1.2G Requirements only apply if a service is provided
- SYSC 10.1.3R Identifying conflicts
- SYSC 10.1.4R Types of conflicts
- SYSC 10.1.4AG Types of conflicts
- SYSC 10.1.5G Types of conflicts
- SYSC 10.1.6R Record of conflicts
- SYSC 10.1.6AG Record of conflicts
- SYSC 10.1.6BG Record of conflicts
- SYSC 10.1.7R Managing conflicts
- SYSC 10.1.8R Disclosure of conflicts
- SYSC 10.1.9AR Disclosure of conflicts
- SYSC 10.1.10R Conflicts policy
- SYSC 10.1.11R Contents of policy
- SYSC 10.1.11AG Contents of policy
- SYSC 10.1.12G Contents of policy
- SYSC 10A.1.1R Application
- SYSC 18.6.1R Whistleblowing obligations under the MiFID regime
- SYSC Sch 1.2G
- GEN 1.2.2AR
- GEN 1.2.4G
- GEN 2.2.22AR Onshored Regulations and third country firms
- COBS 1.1.1AR Deposits (including structured deposits)
- COBS 1 Annex 1
- COBS 2.1.1R The client's best interests rule
- COBS 2.1.1AR Business with eligible counterparties
- COBS 2.2.-1R Application
- COBS 2.4.4R Reliance on other investment firms: MiFID and equivalent business
- COBS 3.1.4R Mixed business
- COBS 3.2.1R General definition
- COBS 3.3.1BR
- COBS 3.4.1R
- COBS 3.5.1R
- COBS 3.5.2R Per se professional clients
- COBS 3.5.3R Elective professional clients
- COBS 3.5.6R Elective professional clients
- COBS 3.5.8G Elective professional clients
- COBS 3.5.9R Elective professional clients
- COBS 3.6.1R
- COBS 3.6.2R Per se eligible counterparties
- COBS 3.6.4R Elective eligible counterparties
- COBS 3.6.4AR Elective eligible counterparties
- COBS 3.6.6R Elective eligible counterparties
- COBS 3.7.1R
- COBS 3.7.2G
- COBS 3.7.5R
- COBS 3.7.7G
- COBS 3.8.2R Records
- COBS 4.1.4G
- COBS 4.1.7G
- COBS 4.2.1R The fair, clear and not misleading rule
- COBS 4.2.2G The fair, clear and not misleading rule
- COBS 4.3.1R
- COBS 4.5A.1R Application
- COBS 4.7.-1G Application
- COBS 4.7.1R Other direct offer financial promotions
- COBS 6.1A.5BG Acceptable minor non-monetary benefits
- COBS 10.1.2R
- COBS 11.2A.1R
- COBS 11.3.1R General principles
- COBS 11.3.1AR General principles
- COBS 11.3.3G Carrying out client orders
- COBS 11.3.6G Use of information relating to pending client orders
- COBS 11.3.7BR Aggregation and allocation of orders
- COBS 11.3.12G Aggregation and allocation of transactions for own account
- COBS 11.3.14G Transposition of client order handling provisions in the UCITS Implementing Directive
- COBS 11.4.1R Obligation to make unexecuted client limit orders public
- COBS 11.4.2G Obligation to make unexecuted client limit orders public
- COBS 11.4.4AG How client limit orders may be made public
- COBS 11.4.5R Orders that are large in scale
- COBS 11.5A.1R
- COBS 11.7.2R Rule on personal account dealing
- COBS 11A.1.1R General application
- COBS 12.2.14R Application
- COBS 13.4.5G Exceptions
- COBS 13.5.3R Exceptions to the projection rules: projections for more than one product
- COBS 13.5.4G Exceptions to the projection rules: projections for more than one product
- COBS 14.3.1R Application
- COBS 14.3.1AG
- COBS 14 Annex 1
- COBS Sch 1.2AG
- COBS Sch 1.3G
- BCOBS 1 Annex 1 Application of BCOBS to firms selling structured deposits
- CASS 1A.3.1R
- CASS 1A.3.1AR The senior managers regime and the certification regime
- CASS 1A.3.2AR The senior managers regime and the certification regime
- CASS 3.2.4G Application
- CASS 6.1.4R Business in the name of the firm
- CASS 6.1.6R Title transfer collateral arrangements
- CASS 6.1.6DR Title transfer collateral arrangements
- CASS 6.2.1R Requirement to protect clients' safe custody assets
- CASS 6.2.2R Requirement to have adequate organisational arrangements
- CASS 6.3.1R Depositing safe custody assets with third parties
- CASS 6.3.4R Depositing safe custody assets with third parties
- CASS 6.3.4A-1 Depositing safe custody assets with third parties
- CASS 6.3.6AR Third-party custody agreements
- CASS 6.4.1R Non-retail clients
- CASS 6.4.1BG Non-retail clients
- CASS 6.4.1CR All clients
- CASS 6.4.2AR All clients
- CASS 6.4.2BG All clients
- CASS 6.4.3R All clients
- CASS 6.6.2R Records and accounts
- CASS 6.6.3R Records and accounts
- CASS 6.6.34R External custody reconciliations
- CASS 7.10.16R Credit institutions and approved banks
- CASS 7.11.1R Title transfer collateral arrangements
- CASS 7.11.4AR Title transfer collateral arrangements
- CASS 7.12.1R Requirement to protect client money
- CASS 7.12.2R Requirement to have adequate organisational arrangements
- CASS 7.13.3R Depositing client money
- CASS 7.13.8R Selection, appointment and review of third parties
- CASS 7.13.10R Selection, appointment and review of third parties
- CASS 7.13.12R Client bank accounts
- CASS 7.13.20R Diversification of client money
- CASS 7.13.21R Diversification of client money
- CASS 7.13.21AR Diversification of client money
- CASS 7.13.22R Diversification of client money
- CASS 7.13.26R Qualifying money market funds
- CASS 7.13.28R Qualifying money market funds
- CASS 7.15.2R
- CASS 7.15.3R
- CASS 7.15.20R External client money reconciliations
- CASS 9.4.2AR
- CASS 9.4.2BR
- CASS 9.4.4G
- CASS 9.5.2G
- CASS 9.5.4AR
- CASS 9.5.4CG
- CASS 9.5.9G
- CASS 10.1.7R General provisions
- MAR 5.3.1R Rules, procedures and arrangements
- MAR 5.3.1AR Functioning of an MTF
- MAR 5.3.8R Transferable securities traded without issuer consent
- MAR 5.4.1R
- MAR 5.5.1R
- MAR 5.6.1R
- MAR 5.6A.1R
- MAR 5.7.1CD
- MAR 5.10.1R Registering an MTF as an SME growth market
- MAR 5A.4.1R Rules, procedures and arrangements
- MAR 5A.6.1R
- MAR 5A.7.1R
- MAR 5A.8.1R
- MAR 5A.9.1R
- MAR 5AA.1.1R
- MAR 6.4.1R
- MAR 7A.2.1G
- MAR 7A.3.2R Systems and controls
- MAR 9.1.1G Application
- MAR 9.2.1D Application form and notification form for members of the management body
- MAR 9.3.1R Notification to the FCA of material changes in information provided at the time of authorisation
- MAR 9.3.2R Notification to the FCA of change to membership of management body
- MAR 9.3.4R Notification to the FCA by an APA or a CTP of compliance with connectivity requirements
- MAR 9.3.8R Yearly notifications to the FCA
- MAR 9.3.9G Yearly notifications to the FCA
- MAR 9 Annex 1
- MAR 9 Annex 2
- MAR 9 Annex 3
- MAR 9 Annex 4
- MAR 10.2.1G Establishing, applying and resetting position limits
- MAR 10.2.2D Application of position limits
- PROD 1.3.1R General: Who? What?
- PROD 3.2.1R General
- PROD 3.3.1R General
- SUP 3.10.7R Client assets report: timing of submission
- SUP 6.4.22G When will the relevant regulator grant an application for cancellation of permission?
- SUP 6 Annex 4.2AG
- SUP 10C.6.1R Compliance oversight function (SMF16)
- SUP 12.4.11R Appointment of an FCA registered tied agent
- SUP 12.5.6AR Prohibition of multiple principals for certain activities
- SUP 12.5.8R Required contract terms for FCA registered tied agents
- SUP 12.6.1AR Monitoring: tied agents; appointed representatives carrying on MCD credit intermediation activity
- SUP 12.6.13R Continuing obligations of firms with tied agents
- SUP 12.6.14R Continuing obligations of firms with tied agents
- SUP 12.7.7R Notification of changes in information given to the FCA
- SUP 17A.1.1R
- SUP 17A.1.2G
- DEPP 6.2.5G Action against individuals under section 66 of the Act
- DISP 1 Annex 2
- DISP 2.3.1AR Activities by firms
- DISP 2.3.1BG Activities by firms
- DISP Sch 1.2G
- PROF 2.1.16G Exempt regulated activities
- REC 2.2.4G Outsourcing
- REC 2.2.6G Outsourcing
- REC 2.2.7G Outsourcing
- REC 2.4.3G
- REC 2.5.1UK Schedule to the Recognition Requirements Regulations, paragraphs 3 – 3H
- REC 2.5.8G Operation of settlement arrangements and effecting and monitoring of transactions
- REC 2.6.6UK Suspension and removal of financial instrument from trading
- REC 2.6.7UK
- REC 2.6.11AUK
- REC 2.6.11BUK
- REC 2.6.11CUK
- REC 2.6.18UK
- REC 2.6.18AUK
- REC 2.6.18BUK
- REC 2.6.18CUK
- REC 2.8.1UK Schedule to the Recognition Requirements Regulations, Paragraph 4(2)(d)
- REC 2.9.1UK Schedule to the Recognition Requirements Regulations, Paragraph 4(2)(e)
- REC 2.12.2AUK Schedule to the Recognition Requirements Regulations, Paragraph 7A
- REC 2.12.2AAUK Schedule to the Recognition Requirements Regulations, Paragraph 7A
- REC 2.12.2BUK
- REC 2.12.2DUK
- REC 2.12.2EUK
- REC 2.16A.1UK Schedule to the Recognition Requirements Regulations, Paragraph 9A-9H
- REC 2.16A.1DR Schedule to the Recognition Requirements Regulations, Paragraph 9A-9H
- REC 3.4.2AR Purpose
- REC 3.4.2BR Purpose
- REC 3.4.4AR Purpose
- REC 3.14.2AR Products and services
- REC 3.14A.5R Operation of an MTF or OTF
- REC 3.14A.7CD Pre- and post- trade transparency requirements for equity and non-equity instruments: form of waiver and deferral
- REC 3.15.2R Suspension of services
- REC 3.15.2AR Suspension of services
- REC 3.16.1G
- REC 3.21.1R
- REC 3.24.1R
- REC 3.25.1R
- DTR 5.4.2R
- M2G 2.3.2G
- M2G 2.4.1G
- M2G 2.5.2G
- M2G 2.6.1G
- M2G 2.7.1G
- M2G 2 Annex 1
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