№ lp_1_28477
File format: docx
Character count: 35276
File size: 145 KB
Year:
2023
Region / city:
United Kingdom
Subject:
MiFID Authorisation
Document type:
Application form
Institution:
Financial Conduct Authority (FCA)
Author:
Financial Conduct Authority
Target audience:
Firms seeking MiFID authorisation
Validity period:
Ongoing
Approval date:
Not specified
Amendment date:
Not specified
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Year:
2017
Region / city:
United Kingdom
Subject:
Financial Promotions
Document type:
Application Form
Authority:
Financial Conduct Authority (FCA)
Author:
Financial Conduct Authority (FCA)
Target audience:
Firms applying for authorisation
Period of validity:
Not specified
Approval date:
Not specified
Date of amendments:
Not specified
Year:
2025
Region / city:
Brussels
Theme:
Payment services, Directory Services, VOP scheme
Document type:
Call for interest
Organization / institution:
European Payments Council (EPC)
Target audience:
Directory Service Providers
Validity period:
Until 18 July 2025
Approval date:
Not specified
Modification date:
Not specified
Year:
2023
Region / city:
Brussels, Belgium
Topic:
Payment Services, Verification of Payee, Financial Services
Document Type:
Agreement
Organization:
European Payments Council (EPC)
Author:
Not specified
Target Audience:
Payment Service Providers (PSPs), Routing and/or Verification Mechanisms (RVMs), EPC participants
Period of validity:
Ongoing
Approval Date:
Not specified
Amendment Date:
Not specified
Year:
2025
Region / City:
European Union, European Economic Area
Topic:
Payment Services, Financial Regulations, Verification Of Payee
Document Type:
Call for Interest
Organ / Institution:
European Payments Council (EPC)
Author:
European Payments Council
Target Audience:
Payment Service Providers (PSPs), Financial Institutions, Routing and Verification Mechanism Providers
Effective Period:
From 5 October 2025
Approval Date:
5 October 2025
Revision Date:
Not specified
Year:
2024
Region / City:
European Union
Topic:
Public consultation on the Verification of Payee (VOP) Scheme
Document Type:
Consultation template
Author:
European Payments Council (EPC)
Target Audience:
Stakeholders in the payment and financial sectors
Period of validity:
20 February 2024 to 19 May 2024
Approval Date:
February 2024
Modification Date:
Not specified
Description:
Template for submitting feedback on the proposed VOP Scheme Rulebook and EPC Recommendations for Matching Processes during the public consultation period.
Note:
Year
Theme:
Home Finance, Insurance Distribution
Document Type:
Application Form, Regulatory Form
Organ / Institution:
Financial Conduct Authority (FCA), Prudential Regulation Authority (PRA)
Target Audience:
Firms applying for variation of permission
Year:
2026
Region / City:
London
Topic:
Home Finance Mediation, General Insurance Distribution
Document Type:
Application Form
Organization / Institution:
Financial Conduct Authority
Author:
Financial Conduct Authority
Target Audience:
Firms seeking to vary permissions for Home Finance and/or General Insurance
Period of Validity:
N/A
Approval Date:
N/A
Amendment Date:
N/A
Note:
Year
Region / City:
Brussels, Belgium
Document Type:
Disclosure Letter
Organization / Institution:
European Payments Council (EPC)
Year:
2014
Region / city:
European Union
Theme:
Financial Regulation
Document Type:
Consultation Paper
Author:
European Securities and Markets Authority (ESMA)
Target Audience:
Financial institutions, regulatory bodies, investors
Period of Validity:
Not specified
Approval Date:
Not specified
Date of Changes:
Not specified
Year:
2015
Region / city:
Global
Topic:
Financial Trading Regulations
Document Type:
Regulatory Guideline
Organ / institution:
European Securities and Markets Authority (ESMA)
Author:
ESMA
Target audience:
Financial institutions, brokers, trading venues
Effective Period:
Ongoing
Approval Date:
August 2015
Date of Amendments:
N/A
Year:
2024
Region / City:
Ireland
Subject:
Financial Sector, Acquisitions, Regulatory Compliance
Document Type:
Regulatory Form
Authority:
Central Bank of Ireland
Author:
Central Bank of Ireland
Target Audience:
MiFID Investment Firms, FSPs, UCITS Management Companies, AIFMs
Effective Period:
Ongoing
Approval Date:
May 2024
Amendment Date:
N/A
Year:
2019
Region / City:
Ireland
Subject:
Financial sector acquisitions
Document Type:
Regulatory form
Organization / Institution:
Central Bank of Ireland
Author:
Central Bank of Ireland
Target Audience:
MiFID & FSP authorised firms, financial sector professionals
Period of Effect:
Ongoing
Approval Date:
N/A
Amendment Date:
N/A
Year:
2016
Date:
19 January 2016
Document version:
1.0
Subject:
MiFID II regulatory compliance and market infrastructure
Document type:
Questionnaire
Organization:
Association for Financial Markets in Europe (AFME)
Regulatory framework:
MiFID II
Industry sector:
Wholesale financial markets
Target audience:
Investment firms and financial exchanges
Geographic scope:
European financial markets
Related organizations:
Global Financial Markets Association (GFMA); Securities Industry and Financial Markets Association (SIFMA); Asia Securities Industry and Financial Markets Association (ASIFMA)
Purpose:
Standardised information exchange between investment firms and exchanges regarding MiFID II requirements
Confidentiality note:
Responses provided by exchanges are confidential and intended only for the recipient firm and its affiliates
Distribution format:
Microsoft Word document
Content structure:
Sections on communication, confidentiality, due diligence, regulatory data management, algorithms, direct electronic access, order-to-trade ratios, and high-frequency trading
Year:
2014–2015
Region / Country:
European Union
Country of Respondent:
Germany
Document Type:
Consultation response form
Institution:
European Securities and Markets Authority (ESMA)
Respondent Organization:
Boerse Stuttgart Holding GmbH
Activity:
Regulated markets / Exchanges / Trading systems
Subject:
Financial markets regulation; MiFID II and MiFIR implementation
Consultation Reference:
ESMA/2014/1570
Submission Method:
Online submission via ESMA website
Response Deadline:
2 March 2015
Confidentiality Option:
Public disclosure unless non-disclosure requested
Sections Included:
Instructions for respondents; respondent information; consultation questions on investor protection and authorization procedures
Relevant Regulatory Framework:
MiFID II and MiFIR
Year:
2011
Region / Country:
Bulgaria
Topic:
Capital Market Integration and Financial Regulation
Document Type:
Research / Analytical Report
Institution:
World Bank
Department:
Financial and Private Sector Development Department, Central Europe and the Baltics Country Department
Author:
Knowledge and Advisory Services Team
Target Audience:
Policy makers, financial regulators, market participants
Period Covered:
2007–2010
Date of Publication:
June 2011
Main Regulations Discussed:
MiFID (Markets in Financial Instruments Directive)
Key Focus:
Bulgarian capital market structure, MiFID adoption, EU market integration, effects of financial crisis
Methodology:
Market analysis, institutional review, comparison with EU integration standards
References:
BSE, BALII, BIS, BME, BNBGSSS, CEESEG, ECB, IMF, EU FSAP documents
Tables and Figures:
Market capitalization, trading volumes, foreign investments, bond and equity market trends
Year:
2021
Region / City:
EU
Topic:
MiFID II Framework Review, Best Execution Reports
Document Type:
Consultation Paper
Institution:
ESMA
Author:
ESMA
Target Audience:
Execution venues, investment firms, investor associations, market participants
Period of validity:
Until 23 December 2021
Approval Date:
30 September 2021
Modification Date:
N/A
Year:
2019
Region / city:
Ireland
Topic:
Investment company, liquidation
Document type:
Consultation Paper
Institution:
Central Bank of Ireland
Author:
Central Bank of Ireland
Target audience:
Investment companies, financial institutions
Period of validity:
Indefinite until revocation
Date of approval:
July 2019
Date of amendments:
N/A
Purpose:
Outline of the appeal process for reviewable decisions
Jurisdiction:
South Australia
Scheme:
South Australian Restrictive Practices Authorisation scheme
Legal basis:
Disability Inclusion Act 2018 (Part 6A, ss. 23L, 23N, 23O, 23P, 23Y, 23Z)
Regulations:
Disability Inclusion (Restrictive Practices – NDIS) Regulations 2021, s. 14
Document type:
Administrative procedure
Responsible unit:
Restrictive Practices Unit
Decision-makers:
Authorised Program Officer; Senior Authorising Officer; South Australian Civil and Administrative Tribunal
Scope:
Appeals of reviewable decisions relating to restrictive practices
Target audience:
RPU staff, people with disability, family members, NDIS service providers
Appeal timeframe:
30 days from original decision, with possible extension
Review bodies:
Senior Authorising Officer; South Australian Civil and Administrative Tribunal
Source type:
Government administrative procedure governing appeals and reviews of restrictive practice authorisation decisions within the South Australian NDIS regulatory framework.
Note:
Year
Theme:
Special Religious Education, Child Protection
Document Type:
Authorisation Letter
Organisation / Institution:
Department of Education
Target Audience:
Approved Providers, School Coordinators