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FCA publishes its Business Plan for 2018/19

Of relevance to: All firms The Financial Conduct Authority (“FCA”) has set out its key priorities for the coming year in its Business Plan for 2018/19, along with its […] [...]

FCA warns general insurance firms failing to clearly show last year’s insurance premium at renewal time

Of relevance to: All general insurance firms Key date: Immediate action required The Financial Conduct Authority (“FCA”) has warned it will take action against general insurance firms which are failing […] [...]

ESMA Technical Advice simplifying prospectuses format and content

Of relevance to: All firms involved in the production of prospectuses when securities are offered to the public or admitted to trading on a regulated market Key date: 21 January […] [...]

FCA introduces new rules and guidance on how advice should be provided to consumers on pension transfers

Of relevance to: All firms advising on pension transfers, those acting as pension transfer specialists, pension providers, and organisations providing software for pension transfer advice Key dates: 1 April 2018 […] [...]

ESMA prohibits binary options and restricts CFDs to protect retail investors

Of relevance to: All firms providing contracts for differences and/or binary options to retail investors Key date: Applicable from two months, for CFDs, and one month, for binary options, after […] [...]

GDPR – Are you ready?

Of relevance to: All firms Key date: Are you ready for 25 May 2018? Are you ready? On 25 May 2018, the General Data Protection Regulation (“GDPR”) will come into […] [...]

ESMA updated Q&As on Markets in Financial Instruments Directive and Regulation, Market Abuse Regulation, Benchmarks Regulation and Central Securities Depository Regulation

Of relevance to: All firms affected by MiFID/MiFIR, MAR, BMR and/or CSDR Key date: Applicable from 23 March 2018 The European Securities and Markets Authority (“ESMA”) has updated its Questions […] [...]

Brexit: Draft UK EU Withdrawal Agreement

Of relevance to: All firms in the UK’s financial services sector Key date: 29 March 2019 The Draft Agreement on the withdrawal of the United Kingdom of Great Britain and […] [...]

Proposed changes to the AIFM and UCITS Directives

Of relevance to: All UCITS Management Companies, AIFMs and those managing AIFs Key date: Adoption planned by May 2019 The European Commission (“EC”) has published a proposed directive and a […] [...]

SONIA benchmark reform

Of relevance to: Wealth Managers and Private Banks using SONIA benchmark Key date: 23 April 2018 The date and time of the publication of the SONIA benchmark is changing on […] [...]

FCA change of London address

Of relevance to: All firms regulated by the FCA Key date: From June 2018 – update websites, literature, documentation Over the summer of 2018, the London offices of the Financial […] [...]

Brexit: FCA Survey for EEA inbound passported firms

Of relevance to: All firms solely regulated by the FCA that passport into the UK (either via a branch or on a cross-border services basis) or market funds in the […] [...]

FCA change of main consumer telephone number

Of relevance to: All FCA-regulated firms giving basic advice and many others The Financial Conduct Authority (“FCA”) has changed its main telephone number for consumers from 0845 606 1234 to […] [...]

FCA and PRA multi-firm review on Algorithmic Trading Compliance in Wholesale Markets

Of relevance to: All firms carrying out algorithmic trading in wholesale markets The Financial Conduct Authority (“FCA”) and Prudential Regulation Authority (“PRA”) have been reviewing firms’ algorithmic trading activity and […] [...]

GDPR Compliance is now a board level responsibility

Of relevance to: All FCA-regulated firms Key date: Applicable from 25 May 2018 The Financial Conduct Authority (“FCA”) have stated that compliance with the EU General Data Protection Regulation (“GDPR”) […] [...]

SM&CR: FCA to consult on proposals to make information available on a wider range of individuals at authorised firms

Of relevance to: All FCA-regulated firms not currently within the Senior Managers & Certification Regime Key date: Summer 2018 The Financial Conduct Authority (“FCA”) and the Prudential Regulation Authority (“PRA”) […] [...]

FCA CP18/4 The European Money Market Funds Regulation

Of relevance to: All firms managing and/or marketing, advising on and/or distributing money market funds Key date: Comments to FCA by 23 March 2018 The EU Money Market Funds (“MMF”) […] [...]

Brexit: EC notices issued stating potential consequences relating to UCITS, MiFID and AIFMD

Of relevance to: All firms involved in Asset Management and Markets in Financial Instruments Key date: 30 March 2019 The UK will become a ‘third country’ (being a country that […] [...]

FCA Consulting on Senior Managers and Certification Regime (“SMCR”)

Of relevance to: FCA-solo regulated firms, insurers and banks Key date: Comments to FCA by 21 February 2018 In December 2017, the FCA published Consultation Papers CP17/40, CP 17/41 and […] [...]

Category: Latest News

FCA publishes its Business Plan for 2018/19

FCA warns general insurance firms failing to clearly show last year’s insurance premium at renewal time

ESMA Technical Advice simplifying prospectuses format and content

FCA introduces new rules and guidance on how advice should be provided to consumers on pension transfers

ESMA prohibits binary options and restricts CFDs to protect retail investors

ESMA updated Q&As on Markets in Financial Instruments Directive and Regulation, Market Abuse Regulation, Benchmarks Regulation and Central Securities Depository Regulation

Brexit: Draft UK EU Withdrawal Agreement

Proposed changes to the AIFM and UCITS Directives

SONIA benchmark reform

FCA change of London address

Brexit: FCA Survey for EEA inbound passported firms

FCA change of main consumer telephone number

FCA and PRA multi-firm review on Algorithmic Trading Compliance in Wholesale Markets

SM&CR: FCA to consult on proposals to make information available on a wider range of individuals at authorised firms

FCA CP18/4 The European Money Market Funds Regulation

Brexit: EC notices issued stating potential consequences relating to UCITS, MiFID and AIFMD

FCA Consulting on Senior Managers and Certification Regime (“SMCR”)

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