Regulation round-up August 2016

Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.

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Introduction: Simon Green, Director of General Insurance & Conduct Specialists

Welcome to the August issue of Regulation round-up. We recently published the findings of our thematic review looking at principals and their appointed representatives (ARs) in the general insurance (GI) sector.

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Hot topic: Increasing transparency and engagement at renewal

Last year we consulted on how we could increase transparency and engagement at renewal in general insurance markets. Consumers may renew products by default without considering whether or not they offer good value or remain suitable for their needs. We wanted to ensure that consumers are engaging and making informed decisions.

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Hot topic: Unauthorised introducers

We have highlighted some of the risks of authorised firms accepting business from unauthorised introducers/lead generators and/or other authorised firms (the ‘introducer’).

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In your sector…

Banks and building societies

PS: Payment Accounts Regulations

PPI complaints handling

New Bank Start-up Unit Seminar

SM&CR: Submitting data on Conduct Rule breaches

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Investment managers and stockbrokers

Fair and Effective Markets Review: Implementation report

FX remediation programme

Redress methodology for pension transfers

CP: MiFID II implementation

Principals and their appointed representatives

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Financial advisers

Redress methodology for pension transfers

Principals and their appointed representatives

Live & Local: Investment events, Scotland

Live & Local: Investment events, East Anglia

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Wealth managers and private bankers

Fair and Effective Markets Review: Implementation report

FX remediation programme

PS: Payment Accounts Regulations

CP: MiFID II implementation

Principals and their appointed representatives

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Mortgage advisers

Live & Local: Mortgage events, Scotland

Live & Local: Mortgage events, East Anglia

Principals and their appointed representatives

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Insurers & insurance intermediaries

CASS 5

Principals and their appointed representatives

PS: Increasing transparency and engagement at renewal

Live & Local: General insurance events, Scotland

Live & Local: General insurance events, East Anglia

Historical Employers’ Liability Insurance Tracing

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Consumer credit

Consumer credit market study

OP: Can we predict which consumer credit users will suffer financial distress?

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Credit unions

Consultation on credit union rules

SM&CR: Submitting data on Conduct Rule breaches

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

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