FCA CP · FCA
CP16/19: Markets in Financial Instruments Directive II Implementation
Published
Read the official text on the FCA website(opens in a new tab)AI-generated Summary
Second MiFID II implementation consultation, following CP15/43, on further Handbook changes, with the FCA now planning a single policy statement on all of MiFID II implementation in 2017. Closes 28 October 2016.
Written from the Regulation Tomorrow post (Norton Rose Fulbright) that links this paper, not from the paper itself.
Details
| Reference | CP16/19 |
|---|---|
| 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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