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UCITS V

Of Relevance To UCITS Management Companies; AIFMs of NURS; depositaries and custodians of UCITS schemes and AIFs. UCITS V The FCA has released Policy Statement PS16/2 “Implementation of the UCITS […] [...]

Client Money: Loan-Based Crowdfunding CP16/4

Since the FCA assumed responsibility for the regulation of loan-based crowdfunding in April 2014, an investor’s money, subject to certain transitional provisions, held by a platform (P2P agreements) – both […] [...]

Thematic Review: Inside Information

The FCA has published its findings on yet another thematic review – this time looking at ‘Flows of Confidential and Inside Information’ (TR15/13). The review sample consisted of 16 mostly small […] [...]

Disclosures and Transparency

Implementation of the Transparency Directive Amending Directive (TDAD) (2013/50) has led to some changes to the Disclosure Rules and Transparency Rules sourcebook (DTR) which came into effect on 26 November […] [...]

Asset Management: Under the Microscope

The FCA’s Business Plan for 2015/16 Included an intention to undertake a market study into asset management – see Regulatory Roundup 64. The terms of reference of the study has […] [...]

What’s in the Sandbox?

The spring of 2016 should see the FCA opening its ‘regulatory sandbox’ to interested parties. The concept of the sandbox is an extension of the FCA’s Project Innovate initiative – […] [...]

Pension Changes to Enhance Consumer Protection

After much debate the FCA is proposing changes to the pension rules to address the risks and challenges faced by consumers in the new retirement market. The FCA’s paper contains […] [...]

Thematic Review – Trading

Market Watch 49 published on 3 September is devoted to FCA feedback following a thematic review of commodities trading – although there is no reason why the relevance of some […] [...]

FCA Strategy Review Re-reviewed

Currently firms are supervised in accordance with their conduct categorisation which ranges from C1 to C4 with the latter firms being subject to a much lighter regulatory touch (firms will […] [...]

Quarterly Consultation CP15/28

Once a quarter, the FCA consults on proposed miscellaneous Handbook amendments. This quarter’s proposals (condensed from 251 pages to 1) are to: make changes in relation to offshore life insurance […] [...]

Financial Crime – A Guide for Firms

Background The FCA has published a revision to “Financial Crime: a guide for firms”, effective from 27 April 2015. The amendments come against a backdrop of two thematic reviews published […] [...]

Compliance Officer Prohibition

The publication of three Final Notices reminds us that the FCA may not simply restrict its actions to authorised firms (in this case Financial Ltd and Investments Ltd) but can […] [...]

Structured Products Industry – Falls Short

The FCA’s Thematic Review (TR 15/2) found that manufacturers and distributors of structured products have a lot to do to ensure customers are treated fairly. Retail investors have limited ability […] [...]

FCA Strategy Review

With the regulation of consumer credit having come under the wing of the FCA last April, the number of firms that the FCA is responsible for has trebled over the […] [...]

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 […] [...]

FCA Strategy Review

With the regulation of consumer credit coming under the wing of the FCA in April, the number of firms that the FCA is responsible for has trebled over the past […] [...]

An Independent Scotland

The Scottish Independence Referendum takes place on Thursday 18th September and within a few days after, we will know whether the system of financial regulation in Scotland is to remain […] [...]

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’. […] [...]

EMIR Review

With reporting under EMIR having been in place for around six months, the FCA has undertaken an EMIR review to find out how industry dealt with the new obligations. It […] [...]

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 […] [...]

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