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: January 2017
Sign up to Regulation round-up monthly updates
Introduction: Andrew Bailey, Chief Executive
January is often regarded as a time for reflection and an opportunity to look ahead to what the new year holds.
Hot topic: Asset Management Market Study
We published the Interim Findings of our asset management market study in November 2016. The study looked at whether retail and institutional investors can get value for money when purchasing asset management products and services.
Hot topic: Firms' resilience to third party trading platform outages
Following the network failure of Bloomberg, we surveyed a number of small to medium sized wholesale banks with a particular focus on the fixed income area, looking at their dependencies on third party trading providers and the challenges faced by firms when such providers experience operational disruptions.
In your sector…
Banks and building societies
Updated statement on Which? super-complaint on push payments
Advice Unit
MiFID II Application & Notification user guide
CP: MiFID II implementation
Guarantor Lending Guidance
Investment managers and stockbrokers
MiFID II Application & Notification user guide
CP: MiFID II implementation
CP: CASS 7A and the Special Administration Regime Review
Web page: Contract for difference
Video: Contract for difference
Web cast: Prudential regime for investment firms
Financial advisers
Live & Local: South East
Advising on pension transfers – our expectations
Pension scheme operators are at risk from smarter scams
Advice Unit
Update on redress methodology for pension transfers
MiFID II Application & Notification user guide
CP: MiFID II implementation
ScamSmart
Wealth managers and private banks
MiFID II Application & Notification user guide
CP: MiFID II implementation
CP: CASS 7A and the Special Administration Regime Review
Web page: Contract for difference
Video: Contract for difference
Web cast: Prudential regime for investment firms
Mortgage advisers
Live & Local: South East
Guarantor Lending Guidance
Insurers & insurance intermediaries
Live & Local: South East
GI measures scorecard
Client Assets Audit
Web pages: Life Insurers & Pensions Providers
Advising on pension transfers – our expectations
Pension scheme operators are at risk from smarter scams
Update on redress methodology for pension transfers
Consumer credit
CCA retained provisions review update
Guarantor Lending Guidance
Default and Arrears information sheets
Live & Local Consumer Credit Event