UK Regulation - Complyport UK Consultancy Service

Financial services legislation after Brexit – announcements from HMT and FCA

The government have set out their approach to financial services legislation after Brexit under the European Union (Withdrawal) Act (“EUWA”), which forms part of the wider work the government is […] [...]

Money Market Funds Regulations 2018

The Money Market Funds Regulations 2018 (the “UK MMF Regulations”) are made in relation to EU Regulation 2017/1131 on money market funds (“MMF Regulation”) which will apply in the UK […] [...]

FCA Asset Management Conference – Insights

On 12 June, London’s Queen Elizabeth II Centre was home to the FCA Asset Management Conference 2018. The conference began with a keynote speech by Andrew Bailey, the Chief Executive […] [...]

ESMA Guidelines on aspects of MiFID II suitability requirements

The European Securities and Markets Authority (“ESMA”) has published its Final Report on Guidelines on certain aspects of the Markets in Financial Instruments Directive (“MiFID II”) suitability requirements. The assessment […] [...]

FCA to regulate pre-paid funeral plans

The sale of pre-paid funeral plans is currently regulated by the Funeral Planning Authority (“FPA”), a self-regulatory body, rather than the Financial Conduct Authority (“FCA”). Due to concern about the […] [...]

FCA publishes draft rules on how it will regulate Claims Management Companies

The Financial Conduct Authority (“FCA”) has published draft rules outlining how it will regulate Claims Management Companies (“CMCs”) when regulation passes to it on 1 April 2019. At the same […] [...]

Alternative Finance Investment Bonds to be permitted to trade on MTFs & OTFs

A draft statutory instrument (“the Order”) entitled Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2018 was laid before Parliament on 9 May 2018 and is awaiting formal […] [...]

London Stock Exchange consultation on the International Order Book trading service

The London Stock Exchange (“LSE”) is conducting a consultation on the market structure and trading hours for the International Order Book (“IOB”). IOB allows direct access to securities from 44 […] [...]

Further amendments to the JMLSG Guidance

Of relevance to: All regulated firms Key dates: Applicable from 17 May 2018 The Joint Money Laundering Steering Group (“JMLSG”) has published revisions to sector 12: Asset finance and sector […] [...]

FCA Data on UK Financial Crime

Of relevance to: All firms In a speech by Megan Butler, Executive Director of Supervision – Investment, Wholesale and Specialists at the Financial Conduct Authority (“FCA”), delivered at the Anti-Money […] [...]

Data Protection Act 2018

Of relevance to: All regulated firms Key dates: Royal Assent 23 May 2018 The Data Protection Act 2018 replaces the Data Protection Act 1998 and provides a comprehensive legal framework […] [...]

Sanctions and Anti-Money Laundering Act 2018

Of relevance to: All regulated firms Key date: Royal Assent 23 May 2018 The Sanctions and Anti-Money Laundering Act 2018 received Royal Assent on 23 May 2018, creating a new […] [...]

FCA retires Finalised Guidance 12/15 and 14/1 on describing advice services and inducements

Of relevance to: All firms providing advice on or distributing retail investment products and financial instruments to retail clients Key date: With immediate effect Two Finalised Guidance publications (FG12/15: Retail […] [...]

ESMA provides one-stop company portal

Of relevance to: All financial service providers authorised within the EU Investors seeking information on whether a financial service provider is authorised within the European Union (“EU”) will now be […] [...]

ICO: Data Protection registration and fees

Of relevance to: All firms processing personal data, including data controllers currently registered with the ICO Key date: Applicable from 25 May 2018 The General Data Protection Regulation (“GDPR”) removes […] [...]

5th revision of the MLD will bring greater transparency of beneficial ownership and enhance other areas

Of relevance to: All firms Key date: Adoption by July 2020 A fifth revision of the Money Laundering Directive (“5MLD”) – the current European Directive 2015/849 is the fourth […] [...]

FCA Financial Crime Guide to have new chapter on insider dealing and market manipulation

Of relevance to: All firms subject to the financial crime rules in SYSC 6.1.1R, and who arrange or execute transactions in financial markets Key dates: Comments to FCA by […] [...]

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 […] [...]

Category: UK Regulation

Financial services legislation after Brexit – announcements from HMT and FCA

Money Market Funds Regulations 2018

FCA Asset Management Conference – Insights

ESMA Guidelines on aspects of MiFID II suitability requirements

FCA to regulate pre-paid funeral plans

FCA publishes draft rules on how it will regulate Claims Management Companies

Alternative Finance Investment Bonds to be permitted to trade on MTFs & OTFs

London Stock Exchange consultation on the International Order Book trading service

Further amendments to the JMLSG Guidance

FCA Data on UK Financial Crime

Sanctions and Anti-Money Laundering Act 2018

FCA retires Finalised Guidance 12/15 and 14/1 on describing advice services and inducements

ESMA provides one-stop company portal

5th revision of the MLD will bring greater transparency of beneficial ownership and enhance other areas

FCA Financial Crime Guide to have new chapter on insider dealing and market manipulation

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

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