Policy development update

Consultation and discussion on Investment Platforms Market Study remedies (to be published alongside the Market Study Final Report)

• Platform Service Providers, other firms that distribute retail investment products, fund managers.

COBS

March 2019

3 months

Q4 2019

OPBAS (Office for professional body anti-money-laundering supervision): fee rate 2019/20 – PS to CP19/24

• Professional body supervisors overseen by OPBAS

FEES App2

December 2019

N/A

N/A

Regulatory fees and levies: policy proposals for 2020/21

• Any proposed changes to how fees or levies will be calculated
• Clarification or modification of existing FEES rules

GLOSS, FEES

November 2019

2 months

March 2020

Review of the permitted links rules for insurers in relation to investment in Patient Capital- PS to CP18/40 and follow-up to DP18/10on Patient Capital investment in authorised funds.

• Insurers offering pensions and insurance-based investment products plus fund

COBS

H2 2019

N/A

N/A

General insurance value measures reporting – Potential PS

• Insurers, intermediaries and other firms involved in the insurance market, and trade bodies representing these firms. It will also be of interest to consumer organisations and consumers.

ICOBS, REP, PROD

Q1 2020

N/A

N/A

Price discrimination in the cash savings market

• Banks and Building Societies;  providers of easy access cash savings accounts and easy access cash ISAs; Intermediaries; trade bodies representing firms and consumer groups.

BCOBS, SUP

Q4 2019

3 Months if CP

Q1 2020

Policy statement on changes to mortgage advice and selling standards

• Mortgage lenders, intermediaries and other firms involved in the mortgage market and trade bodies representing these firms. This will also be of interest to consumer groups

MCOB

Late 2019

N/A

N/A

Proxy Advisors (Shareholders’ Rights) Regulations Implementation (DEPP and EG) – PS to CP19/21

• Proxy Advisors, listed companies, their shareholders and intermediaries.

DEPP, EG

November 2019

N/A

N/A

CP19/27: Quarterly Consultation Paper No 25 (September 2019)

2: Amendments to the Supervision manual related to AIFMD

COLL, SUP

TBC

CP19/27: Quarterly Consultation Paper No 25 (September 2019)

3: Amendments to the Collective Investment Schemes sourcebook

COLL, SUP

TBC

CP19/27: Quarterly Consultation Paper No 25 (September 2019)

4: Minor Handbook amendments to update references to the UK Corporate Governance Code

GLOSS, COCON, APER, DEPP, LR, DTR

TBC

CP19/27: Quarterly Consultation Paper No 25 (September 2019)

5: Amendments to the DTR to implement ESEF

GLOSS, COCON, APER, DEPP, LR, DTR

TBC

CP19/27: Quarterly Consultation Paper No 25 (September 2019)

6: Implementing the amendments to the European Market Infrastructure Regulation (EMIR) brought in by REFIT

GLOSS, SUP

TBC

CP19/27: Quarterly Consultation Paper No 25 (September 2019)

7: Further Brexit-related changes to Handbook & BTS following extension of Article 50

GLOSS, PRIN, SYSC, GEN, COBS, MCOB, BCOBS, PROD, SUP, DEPP, COLL, CONC, RCB, LR, PRR, DTR, EG, PERG

TBC

CP19/27: Quarterly Consultation Paper No 25 (September 2019)

8: Lending Standards Board – FCA code recognition

FEES

TBC

CP19/27: Quarterly Consultation Paper No 25 (September 2019)

10: Changes to reporting requirements in the Supervision manual

SUP

TBC

CP19/27: Quarterly Consultation Paper No 25 (September 2019)

12: Changes to the Training and Competence sourcebook

GLOSS, TC

TBC

CP19/19: Quarterly Consultation Paper No 24 (June 2019)

2: Gibraltar-based firms – fees and levies

FEES

TBC

CP18/24 Quarterly Consultation No. 22 (September 2018)

3: Changes to supervisory principles

SUP

Winter 2018/19

CP16/21 Quarterly Consultation No. 14 (September 2016)

6: Mutuals' deferred shares

GLOSS, COBS

TBC

CP16/17 Quarterly Consultation No. 13 (July 2016)

8: A new 'pooled investment vehicle' definition for the marketing restriction rules on NMPIs

GLOSS

TBC