Retail - Complyport UK Consultancy Service

Coronavirus (COVID-19) Update: The FCA Proposed Supportive Measures For Motor Finance And High-Cost Credit Customers

The FCA has announced supportive measures for motor finance and high-cost credit customers that are intended to complement the measures already announced by the government as a response to the […] [...]

Coronavirus (COVID-19) Update: FCA Confirms Temporary Measures For Financial Relief For Customers Impacted By The Coronavirus

The FCA has approved the proposed measures, outlined in a previous consultation, designed to promptly support users of certain consumer credit products who are facing financial difficulties arising from the […] [...]

Coronavirus (COVID-19): Update FCA Urgent Consultation: Temporary Financial Relief For Borrowers

The Financial Conduct Authority (FCA) has today issued three Guidance Consultation documents to the lending sector proposing a range of targeted temporary measures designed to help consumers during the Coronavirus […] [...]

FCA retires Finalised Guidance 12/15 and 14/1 on describing advice services and inducements

Of relevance to: All firms providing advice on or distributing retail investment products and financial instruments to retail clients Key date: With immediate effect Two Finalised Guidance publications (FG12/15: Retail […] [...]

UK PRIIPs Regulation published – KIDs required 1 January 2018

Of relevance to: Manufacturers of packaged retail and insurance-based investment products and persons advising on, or selling, those products to retail investors Don’t be caught unawares – if you have staff […] [...]

PRIIPs: Implementation Delay Confirmed

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

CFDs and other Speculative Products

Of relevance to: Firms involved in CFDs and similar products such as binary options and rolling spot forex ESMA has updated its Q&As on ‘the provision CFDs and other speculative […] [...]

Financial Advice Market Review (FAMR)

In March 2016 the Treasury and the FCA reported following a major review into financial advice to establish how the market can function better for consumers. Having thrown out the […] [...]

Making the FCA Application for Consumer Credit Easier

The FCA has launched a series of step-by-step guides aiming to support consumer credit firms in completing their application for full or limited permission using our FCA Connect application system. […] [...]

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 […] [...]

Financial Advice Market Review

The FCA and HM Treasury has launched the Financial Advice Market Review (FAMR). The review will examine how financial advice could work better for consumers. The review will consult in […] [...]

FCA Regulation Roundup August – Highlights

Complaints Handling The FCA has published final rules on complaints handling. In summary the changes are: An extension of the ‘next business day rule’, where firms can handle complaints less […] [...]

Performance Management

The FCA has published Guidance on the risk to customers from performance management at firms (FG15/10) – the paper advises that it will be relevant to all types of firm […] [...]

Restrictions on Retail Distribution

Last year the FCA added a new chapter to COBS – COBS 22 “Restrictions on distribution of contingent convertible instruments”. The effect of this was to prohibit the sale of, […] [...]

European Long Term Investment Funds

The Regulation (2015/760) on European Long Term Investment Funds (ELTIFs) has now been published in the Official Journal – see Regulatory Roundup 64. They are designed to provide long term […] [...]

Capital Resources Requirements for Personal Investment Firms (PIFs)

Background and Aims The FCA has published a Consultation Paper on the capital resources requirements for Personal Investment Firms. The FCA’s aim remains to require a proportionate level of capital […] [...]

FCA Restructure and Supervisory Model

The FCA’s Business Plan for 2015/16 – see previous article in this Regulatory Roundup – advises us that to help embed its new strategy the FCA has made some changes […] [...]

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 […] [...]

Fair Fees?

It has been two years since the implementation of the retail distribution review (RDR) and most advisers have by now finalised their fee models and service propositions. Yet the discussion […] [...]

Restrictions on Retail Distribution

The last Regulatory Roundup (No 59) advised that a new chapter in COBS came into force on 1 October – COBS 22 “Restrictions on distribution of contingent convertible instruments” (‘CoCos’). […] [...]

Tag: Retail

Coronavirus (COVID-19) Update: The FCA Proposed Supportive Measures For Motor Finance And High-Cost Credit Customers

Coronavirus (COVID-19) Update: FCA Confirms Temporary Measures For Financial Relief For Customers Impacted By The Coronavirus

Coronavirus (COVID-19): Update FCA Urgent Consultation: Temporary Financial Relief For Borrowers

FCA retires Finalised Guidance 12/15 and 14/1 on describing advice services and inducements

UK PRIIPs Regulation published – KIDs required 1 January 2018

PRIIPs: Implementation Delay Confirmed

CFDs and other Speculative Products

Financial Advice Market Review (FAMR)

Making the FCA Application for Consumer Credit Easier

Pension Changes to Enhance Consumer Protection

Financial Advice Market Review

FCA Regulation Roundup August – Highlights

Performance Management

Restrictions on Retail Distribution

European Long Term Investment Funds

Capital Resources Requirements for Personal Investment Firms (PIFs)

FCA Restructure and Supervisory Model

Structured Products Industry – Falls Short

Fair Fees?

Restrictions on Retail Distribution

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