CP06/14: Implementing MiFID for Firms and Markets
The FSA's Consultation paper 06/14 is entitled 'Implementing MiFID for Firms and Markets'. It was published in July 2006 and the period for consultation responses closes on 31 October 2006.
Introductory documents
Newsletter [ PDF | 111KB | 4 pages ]
Press release
FSA consults on MiFID rules for firms and markets
Consultation paper
CP06/14: [ PDF | 834KB | 224 pages ]
Implementing MiFID for Firms and Markets
Annex 5: [ PDF | 1 MB | 293 pages ]
Draft Handbook text
Addendum to CP06/14: Capital/Professional Indemnity Insurance (PII) requirements [PDF]
As indicated in paragraph 11.4 of CP06/14 'Implementing MiFID for Firms and Markets', published on 31 July 2006, this Addendum provides our draft Handbook text and the new capital adequacy reporting requirements that reflect our proposals to implement MiFID's capital/PII requirements for exempt CAD firms.
Response
PS07/05:
Perimeter Guidance relating to MiFID - Feedback on CP06/9 and CP06/14 - March 2007
PS07/02
Implementing the Markets in Financial Instruments Directive (MiFID) - Feedback on CP06/14, CP06/19 and CP06/20.
Transposition tables
MiFID transposition tables for the Level 1 and Level 2 directives are available on the Treasury website.
Other relevant information
CP06/20:
Financial promotion and other communications - Including draft Handbook text for NEWCOB 4 and 5 - October 2006
CP06/19:
Reforming Conduct of Business Regulation - October 2006
CP06/09:
Organisational systems and controls - Common platform for firms - May 2006
Joint Implementation Plan for MiFID [PDF]