Regulation round-up October 2016

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 2016

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Introduction: David Geale, Director of Policy

Welcome to the October edition of Regulation roundup. I'd like to take the opportunity to update you on our work to encourage Smarter Consumer Communications. In particular rethinking not just what, but also how key information is communicated to consumers.

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Hot topic: Prudential: Capital Requirements Directive IV

We are prudentially responsible for around 24,000 firms which include asset managers, investment firms, platforms and infrastructure providers. Prudential supervision is fundamental in carrying out our responsibilities to protect and enhance the integrity of the UK's financial system. Last month we sent out three communications about our prudential approach.

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Hot topic: Engaging with firms on Gabriel

We have taken the opportunity at Live & Local to speak to delegates about Gabriel. We received and continue to draw valuable insights from this engagement.

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In your sector…

Banks and building societies

Treatment of customers with mortgage payment shortfalls

New measures to maintain firms’ focus on culture

Senior Managers & Certification Regime publications - Conduct Rule Breaches - Data Submission Update

Statement: Super-complaint from Which?

Penalties against Sonali Bank

Speech: A more effective approach to combatting financial crime

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Investment managers and stockbrokers

CP: MiFID II implementation

Investment and Corporate Banking Market Study

CP: Transaction costs

Market Watch: Market maker thematic review

Former Investment Portfolio Manager charged with insider dealing

Derivative Use Reports (UCITS FSA042)

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Financial advisers

CP: MIFID II implementation

Live & Local: West Midlands

Speech: Pensions and long-term retirement saving: a macroeconomic perspective

Review of annuity sales practices 

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Wealth managers and private bankers

CP: MiFID II implementation

Investment and Corporate Banking Market Study 

Market Watch: Market maker thematic review 

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Mortgage advisers

Treatment of customers with mortgage payment shortfalls 

Live & Local: West Midlands

Speech: The role of consumer decision-making in ensuring good market dynamics in the mortgage sector 

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Insurers & insurance intermediaries

FS: Big Data 

OP: Price discrimination 

Live & Local: West Midlands

Enterprise Insurance Company indicates it is insolvent

Gable Insurance AG

Speech: Pensions and long-term retirement saving: a macroeconomic perspective

CP: Transaction costs

Review of annuity sales practices

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Consumer credit

Speech: Balancing regulatory objectives in the dynamic consumer credit market 

PacNet Group

CFO lending to pay £34m redress 

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Credit unions

Senior Managers Regime: Breaches of conduct reporting

Payday lender's interim permission cancelled

New measures to maintain firms' focus on culture 

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

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