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: October 2015
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Introduction: David Lawton, Director of Markets Policy and International
Welcome to October's edition of Regulation round-up. This month, I would like to talk about MiFID II, a major piece of EU legislation that will impact a wide range of regulated firms, both large and small.
I will explain how we plan to engage and help firms with their implementation plans, as a further example of us working with firms as we all seek to make markets work well for consumers.
Hot topic: Financial Advice Market Review (FAMR)
The financial services options available for consumers are becoming increasingly complex. We want more consumers to be able to access cost-effective and user-friendly financial advice. To achieve this, we are asking firms to help us create a regulatory environment that makes effective competition and innovation easier.
In August, we launched a joint consultation with the Treasury: the Financial Advice Market Review (FAMR). We are seeking your input on how we can regulate financial advice services more effectively, and improve the market for consumers.
In your sector…
Banks and building societies
Senior Managers Regime: Grandfathering forms
PS: Whistleblowing
CP: Regulatory references
Call for Inputs on competition in the mortgage sector
PPI statement
PS: GI-Add-ons Market Study - Remedies: banning opt-out selling across financial services and supporting informed decision-making for add-on buyers
Investment managers and stockbrokers (retail and wholesale)
MiFID II Implementation Roundtable
Recovery and Resolution Directive (RRD)
GC: Ring-fencing
Financial advisers
CP: Pension reforms - proposed changes to our rules and guidance
MiFID II Implementation Roundtable
Wealth managers and private bankers
MiFID II Implementation Roundtable
Recovery and Resolution Directive (RRD)
Mortgage lenders and brokers
Call for Inputs on competition in the mortgage sector
Mortgage Credit Directive
Insurers and insurance intermediaries
CP: Pension reforms - proposed changes to our rules and guidance
PS: GI-Add-ons Market Study - Remedies: banning opt-out selling across financial services and supporting informed decision-making for add-on buyers
Consumer credit
PS: Consumer Credit rules and guidance
Mortgage Credit Directive
Credit unions
Improving individual accountability: Workshops for credit unions
Senior Managers Regime: Grandfathering forms