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Illiquid Assets and Open-ended Funds

Of Relevance to: Managers of open-ended funds The FCA has published Discussion Paper DP17/1 on “Illiquid assets and open-ended funds”. DP17/1 concerns itself with the liquidity within a scheme – […] [...]

Crowdfunding: FCA Interim Report

Of Relevance to: Firms offering crowdfunding Responses to its ‘call for input’ in July of this year on crowdfunding has left the FCA feeling that there is evidence of potential […] [...]

FSCS Review

Of Relevance to; All firms, particularly those with clients that qualify as ‘eligible claimants’ The FCA has published consultation paper CP16/42 “Reviewing the funding of the Financial Services Compensation Scheme […] [...]

CFDs – Enhanced Conduct of Business Rules

Of Relevance to: Firms providing and/or distributing retail CFD products (and binary options) Given the concerns that the FCA has previously expressed on the distribution of contracts for difference (“CFD”) […] [...]

FCA Asset Management Market Study: Interim Report

Of relevance to: The asset management sector In November 2015 the FCA published its terms of reference in relation to the intention to undertake a market study into asset management […] [...]

Investment and Corporate Banking: Final Report

Of relevance to: IPO stakeholders including corporate finance advisers, investment banks and buy-side investors In May 2015 the FCA launched a market study into investment and corporate banking by publishing […] [...]

REP-CRIM

Of Relevance to: Firms falling within the criteria within SUP 16.23; those persons with responsibility for oversight of financial crime A reminder that a new financial crime data return (REP-CRIM) […] [...]

FCA Anti-money Laundering Annual Report

Of Relevance to: All firms The FCA has published its Anti-money Laundering Report for 2015/16 on its website. Highlights include: Financial crime was a top priority in 2015/16 and will […] [...]

The votes have been counted and ‘Brexit’ has won the day.

The votes have been counted and ‘Brexit’ has won the day. Whilst the Government considers what exactly that means for the UK as a whole, and what needs to be […] [...]

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 […] [...]

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 […] [...]

Liquidity Management in Funds

Of Relevance to: Managers of open-ended investment funds Liquidity Management in Funds The FCA has published comments – there is no stand-alone paper as such – on ‘Liquidity management for […] [...]

Remuneration: Bonus Cap

Of Relevance to: Firms subject to CRD IV (‘IFPRU Investment Firms’) Remuneration: Bonus Cap The European Banking Authority’s Guidelines on sound remuneration policies were published on 21 December last year. […] [...]

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