Regulation round-up April 2016

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.

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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.

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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

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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?

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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

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Wealth managers and private bankers

Investment and Corporate Banking Market Study

DP: Initial Public Offering (IPO)

TR: Meeting Investors Expectations

Advising on P2P agreements

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Mortgage brokers

Mortgage Credit Directive web pages

MCD: Independence

FCA: Live & Local

Advising on P2P agreements

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Insurers & insurance intermediaries

CP: Secondary Annuities Market

Retirement Income Market data: Supplementary Bulletin

FCA: Live & Local

Advising on P2P agreements

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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

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Credit unions

There are no updates to report in the credit union sector this month.

 

Read or download the full Regulation round-up: April 2016

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