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Advising: FCA Register Part 4A

Of relevance to: Firms whose activities include ‘advising on investments’ The FCA has issued a reminder to those firms whose Part 4A Permission permits them to undertake the activity of […] [...]

4MLD: HM Treasury Consultation

Of relevance to: All firms HM Treasury has published a Consultation Paper on the transposition of the Fourth Money Laundering Directive (“4MLD”) and the accompanying Fund Transfer Regulation (“FTR”). Although […] [...]

4MLD: High-risk Countries

Of relevance to: All firms Around one week after HM Treasury published its Consultation Paper on the Fourth Money Laundering Directive (“4MLD”) – see previous article “4MLD: HM Treasury Consultation” […] [...]

Advice: Amending the Definition

Of relevance to: Investment advisory firms; all firms undertaking ‘advising on investments’ The publication in March of the ‘Financial Advice Market Review’ (“FAMR”) was the final report on this joint […] [...]

CFDs and Speculative Products and Appropriateness

Of Relevance to: Firms involved in CFDs and similar speculative products such as binary options and rolling spot forex and to firms in general that need to undertake appropriateness testing. […] [...]

PRIIPs: Are you ready?

Of Relevance to: Most firms providing investment products or investment services to retail investors, including AIFMs, UCITS Management Companies and the Authorised Fund Managers of NURS. As mentioned in Regulatory […] [...]

Bank of England and Financial Services Act 2016

Of relevance to: All firms Bank of England and Financial Services Act 2016 The Bank of England and Financial Services Act 2016 has made its way through both Houses and […] [...]

Suitability in Wealth Management: Further FCA Visits

Of relevance to: Firms providing discretionary and/or advisory portfolio management services Suitability in Wealth Management: Further FCA Visits An article in Regulatory Roundup 71 (pdf) drew attention to a thematic review […] [...]

UCITS V and Securities Financing Transactions Regulation: Changes to the Handbook

Of relevance to: UCITS management companies, AIFMs The FCA has published Consultation Paper CP16/14 – “UCITS V Level 2 Regulation, SFTR and consequential changes to the Handbook”. In basic terms […] [...]

FSCS Levy 2016/17

Of Relevance to: All firms FSCS Levy 2016/17 Separate to Consultation Paper CP16/9 “FCA Regulated fees and levies: Rate proposals 2016/17” (see previous article) the Financial Services Compensation Scheme (“FSCS”) […] [...]

Advising: FCA Register

Of Relevance to: ‘Firms whose activities include ‘advising on investments’ Advising: FCA Register As mentioned in Regulatory Roundup 74, firms that had the activity of ‘advising on investments’ under the […] [...]

Anti-Money Laundering Action Plan

Of relevance to: All firms and in particular MLROs. Anti-Money Laundering Action Plan The Home Office and HM Treasury have published a joint “Action Plan for anti-money laundering and counter-terrorist […] [...]

Inducements and Conflicts of Interest: Thematic Review

Of Relevance To: MiFID firms; firms undertaking business in respect of retail investment products Inducements and Conflicts of Interest: Thematic Review In January 2014 the FCA published Finalised Guidance FG14/01 […] [...]

Initial Public Offerings – IPO

Of Relevance to: IPO stakeholders including corporate finance advisors, investment banks and buy-side investors. Initial Public Offerings A double IPO offering from the FCA with the publication of both a […] [...]

Fund Management Firms: Thematic Review

Of Relevance to: Fund Management Firms; Financial Advisers; Platform Providers Fund Management Firms: Thematic Review The FCA has carried out a thematic review on UK fund management firms and […] [...]

FCA Fees and Levies 2016-17

Of Relevance to All firms FCA Fees and Levies 2016-17 The FCA has published Consultation Paper CP16/9 “FCA Regulated fees and levies: Rates proposals 2016/17”. Year-on-year the good news for […] [...]

Financial Sanctions

Of Relevance to All firms Financial Sanctions The Office of Financial Sanctions Implementation (“OFSI”) came into being on 31 March. The OFSI, which is part of HM Treasury, was flagged-up […] [...]

FCA Business Plan 2016/17

Of Relevance to: To all firms FCA Business Plan: 2016/17 The FCA has published its Business Plan for 2016/17, which also includes the ‘Risk Outlook’ (page 12) which effectively feeds […] [...]

Advising on Investments: FAMR

The joint FCA and HM Treasury Financial Advice Market Review (“FAMR”) was launched last year – see Regulatory Roundup 67. The purpose of the review was to examine: the advice […] [...]

Client Money: Loan-Based Crowdfunding

Of Relevance to: Firms advising on P2P agreements; all firms undertaking ‘advising on investments Client Money: Loan-Based Crowdfunding The proposed changes to CASS to allow firms to hold money in […] [...]

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