Regulation round-up January 2017

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

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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.

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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.

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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.

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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

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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

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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

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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

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Mortgage advisers

Live & Local: South East

Guarantor Lending Guidance

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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

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Consumer credit

CCA retained provisions review update

Guarantor Lending Guidance

Default and Arrears information sheets

Live & Local Consumer Credit Event

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