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Regulatory Fees and Levies

The FCA has published CP14/26 – “Regulatory fees and levies: policy proposals for 2015/16”. As was the case in last year’s CP13/14 (see Regulatory Roundup 52), the purpose of the […] [...]

The ‘Small Business, Enterprise and Employment Bill’ is progressing through Parliament. Aside from topics ranging from zero hours contracts to public houses code via childcare and schools, some changes to […] [...]

Retrospective Application of Rules

Amongst the various areas for action in the FCA’s Business Plan for 2014/15 that was published in March was work to be carried out in respect of the ‘expectations gap’. […] [...]

FCA Fees and Levies 2014/15

Following the March Consultation Paper (see Regulatory Roundup 54) the FCA has published PS14/11 which confirms the final fees and levies payable for 2014/15. The annual funding requirement (AFR) remains […] [...]

Dealing Commission Discussion: Unbundling

It will be recalled that the FCA published a Policy Statement in May (PS14/7 – see Regulatory Roundup 55) on the use of dealing commission and which contained final revised […] [...]

Wholesale Markets: Competition

Regulatory Roundup 56 advised that the Bank of England, HM Treasury and the FCA were proposing to undertake a joint review of wholesale markets. Following on from this the FCA […] [...]

FCA: Enhanced Supervision

The FCA has published a policy statement (‘Tackling serious failings in firms’) on how it will address serious failings of standards, governance and culture in firms. Although reference is made […] [...]

CASS: Overhaul of Regime

Those firms that do not hold, or control, client assets or client money will doubtless be grateful that they do not have to contend with the 400+ page Policy Statement […] [...]

Wholesale Markets Review

Firms feeling beleaguered from the additional attention from the FCA (see articles on ‘FCA: Enforcement and Supervision‘ and ‘FCA: Enhanced Supervision‘) will probably not have been surprised to learn that […] [...]

FCA Business Plan 2014/15

The FCA is now a year old and has recently published its second Business Plan, which provides an insight into the areas that the FCA will concentrate on, including by […] [...]

FSCS Levy

The FSCS has published its final levy for 2014/15, being £276m compared to £285m for the previous year. Although the final levy comes in below the earlier indicative levy for […] [...]

FCA Regulated Fees and Levies

As mentioned in the FCA Business Plan article, the FCA’s Annual Funding Requirement (‘AFR’) is identified as £446.4m. A detailed analysis of proposed fees is contained in CP14/6 ‘FCA Regulated […] [...]

FCA Risk Outlook 2014

The publication of the FCA Business Plan 2014/15 (see separate article in this Regulatory Roundup) was accompanied by the FCA Risk Outlook 2014. The FCA Risk Outlook identifies potential issues […] [...]

Supervision of C4 Firms

When the FCA took over from the FSA, it introduced a new approach to supervision, albeit that for many small firms it may have been difficult to spot any practical […] [...]

Hedge Fund Survey

The latest (March 2014) Hedge Fund Survey has been released by the FCA. The twice-yearly survey is based upon voluntary participation by the hedge fund industry – the current version […] [...]

FSCS (and FOS) Exemption

Referring to the article on the FSCS levy a reminder to firms to ensure that, where applicable, they have submitted exemption forms in respect of FSCS and FOS levies. A […] [...]

Complyport News

Complyport has appointed Paul Grainger as CEO replacing Martin Herriot who left the firm in 2013. Paul Grainger takes over from Richard Eagle who has very successfully acted as interim […] [...]

Suspicious Activity Reports

The National Crime Agency, whose remit now includes those areas which were previously the responsibility of SOCA, has recently produced guidelines on the submission of suspicious activity reports (SAR), including […] [...]

Dealing Commission Rules

As mentioned in Regulatory Roundup 51, the FCA has now released its consultation paper on the use of dealing commission – CP13/17. In November 2012 the then FSA published “Conflicts […] [...]

FCA Fees

The FCA has published its annual consultation paper on fees and levies – “Regulatory fees and levies: policy proposals for 2014/15” (CP13/14). As the title suggests the paper only covers […] [...]

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