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FCA Business Plan

The FCA’s very first Business Plan has been published. As has previously been announced, the FCA will be much more proactive , “acting earlier and more decisively than the FSA”. […] [...]

FCA Risk Outlook

The publication of the FCA’s Business Plan – see separate article – was accompanied by the FCA Risk Outlook 2013. The FCA Risk Outlook identifies potential risks, some of which […] [...]

AIFMD Update: CP12/32

The FSA has issued the first of two consultation papers on the AIFMD – CP12/32 “Implementation of the Alternative Investment Fund Managers Directive, Part 1” (Part 2 is expected in […] [...]

Asset Managers: An Important Message

Between June 2011 and February 2012 the FSA conducted thematic reviews of asset management firms on the subject of managing conflicts of interest. The Regulator identified many failings, which may […] [...]

Reform of Approved Persons Regime

More changes to the Handbook arising from the impending move from the FSA to the FCA/PRA regime are proposed in CP12/26 ‘Regulatory reform: the PRA and FCA regimes for Approved […] [...]

The Journey Ahead

A speech by Martin Wheatley, FCA CEO Designate, on 16 October announced the launch of ‘Journey to the FCA’ which sets out how the FCA will approach its regulatory objectives […] [...]

Fees and Levies

The FSA has published its annual consultation paper on fee rates and levies – ‘Regulatory fees and levies: policy proposals for 2013/14’ (CP12/28). At this stage of the process the […] [...]

Regulatory Reform

A consultation paper on regulatory reform – CP12/24 “Regulatory Reform: PRA and FCA regimes relating to aspects of authorisation and supervision” was released on 12 September. As will be known, […] [...]

Supervision under the FCA

Clive Adamson, Director of Supervision, Conduct of Business, gave a speech at the annual FSA Asset Management Conference on the supervisory approach that will be adopted by the FCA. Although […] [...]

Hedge Funds and Systemic Risk

The FSA has published its latest report (see e.g. Regulatory Roundup 33 for details of the 2011 report) following the results of the Hedge Fund Survey (HFS) and Hedge Fund […] [...]

Capital Instruments: Pre-Issuance Notification

Firms that are subject to GENPRU are reminded that they must notify the FSA before issuing any capital instruments that they wish to include as regulatory capital. The rules, and […] [...]

FSA Annual Report 2011/12

The FSA has published its annual report which outlines how the Regulator has performed against the priorities set out in its 2011/12 Business Plan (see Regulatory Roundup 28). As will […] [...]

FSA Fines – a Better Use of Money

The well publicised LIBOR and EURIBOR issues at Barclays Bank led to an FSA fine of £59.5M. As a result of the Barclays affair the FSA Fines Table 2012 now […] [...]

Regulatory Fees and Levies for 2012/13

The Complyport Regulatory Alert of 3 February contained details of the FSA’s proposals on fees and levies for 2012/13. The alert advised that the final fees and levies would not […] [...]

Prospectus & Transparency Update

Regulatory Roundup 37 included details of the joint HM Treasury and FSA Consultation Paper (CP11/28) concerning the changes that need to be brought about to the Prospectus (PR) and Transparency […] [...]

Exchange Traded Products

Amongst the 15 broad risk categories set out in the FSA’s ‘Conduct Risk Outlook 2012’ (see Regulatory Roundup 39 for a link to this document) are Exchange Traded Products (ETPs), […] [...]

Cold-Shouldering

Around this time last year the FSA sent out a ‘Dear Compliance Officer’ letter concerning the ‘cold-shouldering’ imposed on three individuals by the Panel on Takeovers and Mergers (see Regulatory […] [...]

Currie Conflicts

A Final Notice reveals that the FSA has fined Martin Currie Investment Management Ltd (MCIML) and Martin Currie Inc (MCI – together Martin Currie) for failing to properly manage a […] [...]

Transaction Reporting

As mentioned in Regulatory Roundup 36, the FSA released a (consultative) update of the Transaction Reporting User Pack (TRUP). The Regulator has now issued the finalised guidance (TRUP 3). The […] [...]

CASS Resolution Pack

Last August the FSA published a consultation paper (CP11/16) on the proposal for firms that hold client money and/or client assets to produce a CASS resolution pack (CRP) – see […] [...]

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