Regulation round-up September 2016

Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.

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Introduction: Andrew Bailey, Chief Executive

Welcome to the September edition of Regulation roundup. As the FCA’s new Chief Executive, I am extremely keen that our role is well understood by the firms we regulate.

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Hot topic: Ageing population

Demographic change offers a range of opportunities and challenges that both the industry and regulators need to address for the future. Older consumers have different needs, preferences and behaviours to other groups of consumers, and it is crucial that financial services are able to adapt to meet these needs.

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Hot topic: Financially vulnerable mortgage customers

We have published our review into mortgage lenders' strategies to mitigate the impact of an interest rate rise on financially vulnerable customers - particularly those less able to cope with an increase in their monthly payment.

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In your sector…

Banks and building societies

Senior Managers Regime: Breaches of conduct reporting

Financial Crime Conference

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Investment managers and stockbrokers

OP: Dark pools

MiFID II: Implementation roundtable minutes

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Financial advisers

Live & Local: Investment events, East Anglia

CP: Pension Wise Standards

Fine and ban for financial adviser

MiFID II: Implementation roundtable minutes

Pension arrangements with guaranteed income benefits

Advising on P2P agreements

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Wealth managers and private bankers

OP: Dark pools

MiFID II: Implementation roundtable minutes

Advising on P2P agreements

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Mortgage advisers

Live & Local: Mortgage events, East Anglia

Mortgage Business Expo

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Insurers & insurance intermediaries

Live & Local: General insurance events, East Anglia

Principals and their appointed representatives video

CP: Pension Wise Standards

Pension arrangements with guaranteed income benefits

Advising on P2P agreements

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Consumer credit

Advising on P2P agreements

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Credit unions

Senior Managers Regime: Breaches of conduct reporting

Credit Union governance webinar

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

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