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: July 2016
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Introduction: Clinton Askew, Chair of the Small Business Practitioner Panel
It’s my pleasure to introduce this month’s Regulation Roundup and to tell you about the FCA Smaller Business Practitioner Panel.
Hot topic: RMA-B: Profit and Loss
We thought it would be helpful to flag the most common mis-reporting errors we pick up when monitoring section RMA-B Profit and Loss Account (P&L) in firms' Retail Mediation Activity Returns (RMAR), and our approach when firms submit a nil response.
Hot topic: Review of Signposting to Pension Guidance
Our review looked at whether firms are appropriately signposting the availability of pensions' guidance (Pension Wise) for customers looking to access their pension savings through non-advised sales channels. We also wanted to get a better understanding of how firms are highlighting the risks of pension fraud and scams to customers.
In your sector…
Banks and building societies
Cash savings: Sunlight remedy second report
TR: UK Equity Market Dark pools
Speech: Getting culture and conduct right
Payment Services Stakeholder Liaison Group
Investment managers and stockbrokers
Guidance on fund suspensions
PS: DEPP and EG
CP: Package Retail and Insurance-based Investment Products
TR: UK Equity Market Dark pools
UK MiFID firms being added to ESMA's Register
Speech: Getting culture and conduct right
MAR comes into effect
Financial advisers
Financial Advice Working Group established
Live & Local: Investment events, Scotland
ToR: Retirement outcomes review
Review of Signposting to Pension Guidance
Guidance on fund suspensions
CP: Packaged Retail and Insurance-based Investment Products
Five charge in alleged investment fraud
European Pensions Management Ltd enters administration
UK MiFID firms being added to ESMA's Register
Live & Local: Wales
Live & Local: East Midlands
Wind-down planning
Two individuals banned from working in financial services
ScamSmart: Campaign to help combat investment fraud
New complaints return
Debt consolidation mortgage advice
Wealth managers and private bankers
CP: Package Retail and Insurance-based Investment Products
Guidance on fund suspensions
UK MiFID firms being added to ESMAs Register
MAR comes into effect
Mortgage advisers
PS: FCA regulated fees and levies
Live & Local: Mortgage events, Scotland
Insurers & insurance intermediaries
Live & Local: General insurance events, Scotland
QCP: Insurance Act Chapter
Enforcement fine for client and insurer money failings
ToR: Retirement outcomes review
Update on our work around pensions and retirement income
CP: Package Retail and Insurance-based Investment Products
Review of Signposting to Pension Guidance
European Pensions Management Ltd enters administration
Annuity Comparator research
Consumer credit
Cancel payday lender’s interim permission and director
Credit unions
Complaints handling return
Consultation on credit union rules
Speech: Getting culture and conduct right