Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.
Read or download the full Regulation round-up: April 2016
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Introduction: Tracey McDermott, Acting Chief Executive
We published our annual Business Plan 2016/17 on 5 April. It explains how we plan to carry out our core activities, and identifies seven priorities for the year ahead.
Hot topic: Inducements and Conflicts of interest follow-up
Our recent review focused on benefits provided and received by MiFID firms and those carrying out regulated activities in relation to a retail investment product.
In your sector…
Banks and building societies
Customer understanding of transactions
Mortgage Credit Directive web pages
MCD: Independence
Investment and Corporate Banking Market Study
DP: Initial Public Offering (IPO)
PS: Ring-fencing
Investment managers and stockbrokers (retail and wholesale)
Investment and Corporate Banking Market Study
DP: Initial Public Offering (IPO)
TR: Meeting Investors' Expectations
OP: Are high-frequency traders anticipating the order flow?
Financial advisers
Inducements and conflicts of interest
FCA: Live & Local
Speech: Financial Advice Market Review (FAMR)
Advising on P2P agreements
Continuing action against Capital Alternatives
Wealth managers and private bankers
Investment and Corporate Banking Market Study
DP: Initial Public Offering (IPO)
TR: Meeting Investors Expectations
Advising on P2P agreements
Mortgage brokers
Mortgage Credit Directive web pages
MCD: Independence
FCA: Live & Local
Advising on P2P agreements
Insurers & insurance intermediaries
CP: Secondary Annuities Market
Retirement Income Market data: Supplementary Bulletin
FCA: Live & Local
Advising on P2P agreements
Consumer credit
Speech: Consumer credit regulation: the journey so far
NewDay to provide over £4m in redress
Buy as You View to £939,000 in redress
Credit unions
There are no updates to report in the credit union sector this month.