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Here to help with Regulation and Compliance
What’s New 2018
Developments in UK Financial Services Regulation
2019 REGULATORY NEWS 2018 REGULATORY NEWS 2017 REGULATORY NEWS 2016 REGULATORY NEWS 2015 NEWS 2014 NEWS
REGULATORY NEWS 2018:
- 28/12/2018: Information for London Capital and Finance PLC investors
- 21/12/2018: Information for customers of EMEX Technologies Limited (EMEX)
- 21/12/2018: Qudos Insurance A/S declared bankrupt
- 21/12/2018: Closing date for comments to CP18/31 Increase to FOS Award Limits
- 13/12/2018: FG18/5: Guidance on financial crime systems and controls: insider dealing and market manipulation
- 10/12/2018: Effective today: SM&CR will commence for insurers
- 07/12/2018: CP18/39: Quarterly Consultation Paper No 23
- 07/12/2018: CP18/38: Restricting contract for difference products sold to retail clients and a discussion of other retail derivative products
- 07/12/2018: CP18/38: Technical annex
- 07/12/2018: CP18/37: Product intervention measures for retail binary options
- 04/12/2018: FCA News: FCA publishes Decision Notice against former CEO of Sonali Bank (UK) Ltd for AML failings
- 04/12/2018: FCA News: ScamSmart prompts tens of thousands of pension holders to seek information
- 30/11/2018: FCA News: Qudos Insurance A/S has entered into solvent liquidation
- 29/11/2018: FCA News: Mark Starling sentenced to 5 years’ imprisonment in FCA prosecution of £3m investment fraud
- 29/11/2018: FCA News: Statement on EU Withdrawal Impact Assessment
- 27/11/2018: FCA News: Consumer warning – Larksway Investments Limited (in Liquidation)
- 27/11/2018: FCA News: FCA to delay launch of Credit Information Market Study
- 27/11/2018: FCA News: Cyber and technology resilience in UK financial services
- 23/11/2018: FCA News: FCA launches further consultations ahead of the UK’s exit from the EU
- 22/11/2018: FCA News: New Settlement Internalisation reporting requirement
- 22/11/2018: FCA News: FCA proposes introduction of price cap on rent-to-own firms to protect vulnerable consumers from high costs
- 20/11/2018: FCA News: AI and financial crime: silver bullet or red herring?
- 20/11/2018: FCA News: Bank of England and Financial Conduct Authority appoint new Chair of the Sterling Risk Free Reference Rates Working Group
- 20/11/2018: FCA News: Conclusions from the Cryptoassets Taskforce
- 16/11/2018: FCA News: Temporary prohibition of short selling: Banca Carige
- 15/11/2018: FCA News: Regulation round-up November 2018
- 08/11/2018: 15 million Brits suffer in silence as they lack confidence to complain
- 06/11/2018: The role of regulation in encouraging good culture
- 01/11/2018: FS18/2: Feedback statement: Call for Input on Digital Regulatory Reporting
- 31/10/2018: Dear CEO Letter: FCA expectations of general insurance firms undertaking pricing activities
- 31/10/2018: Infographic: 6 evidential questions to help assess concerns about fairness in price discrimination
- 31/10/2018: DP18/9: Fair Pricing in Financial Services
- 31/10/2018: TR18/4: Pricing practices in the retail general insurance sector: Household insurance
- 31/10/2018: MS18/1: General insurance pricing practices market study
- 30/10/2018: Final Notice 2018: Liberty Mutual Insurance Europe SE
- 30/10/2018: Dear CEO letter: Due diligence requirements for Self-Invested Pension Plan (SIPP) investments
- 30/10/2018: FCA News: An update on our approach to authorisation and our Brexit preparations
- 29/10/2018: Cryptoasset Taskforce publishes report on UK approach to cryptoassets
- 25/10/2018: Brexit and financial services: where have we got to?
- 22/10/2018: Occasional Paper No. 46: Fixing the Fix? Assessing the Effectiveness of the 4pm Fix
- 22/10/2018: Evaluation Paper 18/2: the impact of bringing additional benchmarks into the regulatory and supervisory regime
- 18/10/2018: CP18/32: Recovering the costs of the Office for Professional Body Anti-Money-laundering Supervision (OPBAS): proposed fee rates for 2018/19
- 16/10/2018: PS18/21: SME access to the Financial Ombudsman Service - near-final rules:
- 15/10/2018: DP18/8: Climate change and green finance
- 12/10/2018: CP18/30: EU Securitisation Regulation Implementation (DEPP and EG)
- 11/10/2018: GC18/4: Senior Managers and Certification Regime: Proposed guidance on statements of responsibilities and responsibilities maps for FCA firms
- 10/10/2018: CP18/28: Brexit: proposed changes to the Handbook and Binding Technical Standards – first consultation
- 09/10/2018: CP18/29: Temporary permissions regime for inbound firms and funds
- 08/10/2018: CP 18/27: Consultation on illiquid assets and open-ended funds and feedback to Discussion Paper 17/1
- 04/10/2018: PS18/20: Improving the quality of pension transfer advice – feedback on CP18/7 and final rules and guidance
- 01/10/2018: Press Release: Prisoners, wellness programmes and the rats of Hanoi: why the FCA tests its interventions
- 01/10/2018: Press Release: FCA fines Tesco Bank £16.4m for failures in 2016 cyber attack
- 28/09/2018: Press Release: FCA statement on super-complaint from Citizens Advice to the CMA on excessive prices for disengaged consumers
- 27/09/2018: Press Release: Financial Conduct Authority publishes Decision Notice concerning Linear Investments Limited
- 20/09/2018: News: Regulation round-up September 2018
- 20/09/2018: Press Release: FCA consults on new rules for claims management firms to raise standards of conduct and protect consumers
- 19/09/2018: Dear CEO LIBOR letter
- 17/09/2018: CP18/25: Approach to final Regulatory Technical Standards and EBA guidelines under the revised Payment Services Directive (PSD2)
- 07/09/2018: CP18/24: Quarterly Consultation Paper No 22
- 20/08/2018: CP18/23: Claims management companies: recovering the costs of regulation and the Financial Ombudsman Service
- 02/08/2018: DP18/7: Review of retained provisions of the Consumer Credit Act: Interim report 02/08/2018: DP18/7: Consumer Credit Act Review: interim report
- 01/08/2018: CP18/21: General standards and communication rules for the payment services and e-money sectors
- 01/08/2018: CP18/22: Handbook changes to reflect the application of the EU Securitisation Regulation and the amendment to the Capital Requirement Regulation
- 30/07/2018: PS18/19: Assessing creditworthiness in consumer credit: Feedback on CP17/27 and final rules and guidance
- 27/07/2018: CP18/20: Loan-based (‘peer-to-peer’) and investment-based crowdfunding platforms: Feedback on our post-implementation review and proposed changes to the regulatory framework
- 25/07/2018: DP18/6: Price discrimination in the cash savings market
- 18/07/2018: PS18/18: Industry Codes of Conduct and Feedback on FCA Principle 5
- 17/07/2018: DP18/5: a duty of care and potential alternative approaches
- 11/07/2018: PS18/17: The European Money Market Funds (MMF) Regulation
- 11/07/2018: Directory prototype screens
- 06/07/2018: Finalised Guidance: Track changes: Payment Services and Electronic Money – Our Approach - July 2018
- 05/07/2018: DP 18/4: Building the UK financial sector’s operational resilience
- 04/07/2018: CP18/18: Guidance on regular premium PPI complaints and recurring non-disclosure of commission
- 04/07/2018: CP18/19: Introducing the Directory
- 04/07/2018: PS18/16: Final Guidance: the Duty of Responsibility for insurers and FCA solo-regulated firms
- 04/07/2018: CP18/18: Guidance on regular premium PPI complaints and recurring non-disclosure of commission
- 04/07/2018: PS18/15: Extending the Senior Managers & Certification Regime to insurers - Feedback to CP17/26 and CP17/41 and near-final rules
- 04/07/2018: The Senior Managers and Certification Regime: Guide for insurers
- 04/07/2018: PS18/14: Extending the Senior Managers & Certification Regime to FCA firms - Feedback to CP17/25 and CP17/40, and near-final rules
- 04/07/2018: The Senior Managers and Certification Regime: Guide for FCA solo-regulated firms
- 04/07/2018: CP18/19: Introducing the Directory
- 03/07/2018: PS18/13: FCA regulated fees and levies 2018/19: Including feedback on CP18/10 and ‘made rules’
- 29/06/2018: PS18/12: PSR regulatory fees
- 28/06/2018: CP18/17: Retirement Outcomes Review: Proposed changes to our rules and guidance
- 26/06/2018: CP18/16: Authorised push payment fraud - extending the jurisdiction of the Financial Ombudsman Service
- 12/06/2018: FCA News Stories: Our response to Law Commission recommendations on pension funds and social investment
- 14/06/2018: FCA Speech: Has the industry improved ten years on?
- 12/06/2018: Non-confidential responses to CP18/3
- 11/06/2018: FCA Speech: A helping hand for the invisible hand: the FCA’s approach to competition and innovation
- 11/06/2018: Press Release: FCA secures increased confiscation order against Benjamin Wilson
- 11/06/2018: GC18/3: Primary Market Bulletin No. 19
- 08/06/2018: PS18/11: Sovereign controlled companies: Feedback to CP17/21 and Final Rules
- 08/06/2018: PS18/11: Sovereign controlled companies
- 08/06/2018: Press Release: New premium listing category for sovereign-controlled companies
- 06/06/2018: Press Release: FCA fines and imposes a restriction on Canara Bank for anti-money laundering systems failings
- 06/06/2018: FCA News Stories: PPI campaign response update
- 05/06/2018: CP18/15: Claims management: how we propose to regulate claims management companies
- 05/06/2018: Press Release: FCA sets out plans for regulation of claims management companies
- 01/06/2018: CP18/14: Quarterly Consultation Paper No 21
- 01/06/2018: FCA News Stories: Policy development update
- 31/05/2018: CP18/13: High-cost Credit Review: Overdrafts
- 31/05/2018: CP18/12: High-cost Credit Review: Consultation on rent-to-own, home-collected credit, catalogue credit and store cards, and alternatives to high-cost credit; Discussion on rent-to-own pricing
- 31/05/2018: CP18/12 and CP18/13: Consultations on High-cost Credit and on Overdrafts
- 29/05/2018: FG18/4: The FCA’s approach to the review of Part VII insurance business transfers
- 29/05/2018: FG18/4: Summary of feedback received
- 31/05/2018: Press Release: FCA publishes outcome of high-cost credit review
- 29/05/2018: FCA News Stories: Information for customers of Beaufort Securities Limited (BSL) and Beaufort Asset Clearing Services Limited (BACSL)
- 24/05/2018: FCA Speech: Technology and global ties: turning the tide on financial crime
- 23/05/2018: FCA Speech: Building Societies and the Future of Retail Banking
- 22/05/2018: FCA Speech: Turning technology against criminals
- 21/05/2018: Press Release: Darren Newton banned by the FCA for misappropriating client money
- 17/05/2018: GC18/2: Fairness of variation terms in financial services consumer contracts under the Consumer Rights Act 2015
- 17/05/2018: Press Release: FCA consults on new guidance on variation terms under unfair terms legislation
- 16/05/2018: FCA Speech: The FCA’s Business Plan and Priorities
- 11/05/2018: PS18/10: Policy Statement on retiring FG12/15 and FG14/1
- 11/05/2018: Press Release: FCA secures confiscation orders totalling £1.69 million against convicted insider dealers
- 11/05/2018: Press Release: FCA and PRA jointly fine Mr James Staley £642,430 and announce special requirements regarding whistleblowing systems and controls at Barclays
- 04/05/2018: Press Release: FCA calls for more innovation to help consumers find the best mortgage deal
- 03/05/2018: Press Release: To-do-list tension - UK households face an average of 33 tasks a week
- 02/05/2018: FCA Speech: High-cost credit: what next?
- 01/05/2018: CP18/11: Reviewing the funding of the Financial Services Compensation Scheme (FSCS): feedback from CP17/36, final rules and new proposals for consultation
- 01/05/2018: CP18/11: Reviewing the funding of the Financial Services Compensation Scheme (FSCS)
- 30/04/2018: PS18/9: Recovering the costs of the Office for Professional Body Anti-Money Laundering Supervision – feedback to CP17/35
- 30/04/2018: Payment Accounts Regulations: Final Linked Services List
- 30/04/2018: PS18/9: Recovering the costs of the Office for Professional Body Anti-Money Laundering Supervision (OPBAS)
- 26/04/2018: FCA Speech: Asset management: A regulatory perspective
- 26/04/2018: FCA Speech: Blockchain: considering the risks to consumers and competition
- 24/04/2018: FCA Speech: Brexit: what does it mean for financial markets to be open?
- 24/04/2018: Press Release: FCA warns public of increased threat of loan scams, as borrowers lose over £3.5 million a year
- 19/04/2018: Press Release: New FCA data show 3.76 million complaints about financial services firms
- 10/04/2018: FCA Speech: Payments after PSD2: evolution or revolution
- 09/04/2018: Press Release: FCA publishes its Business Plan for 2018/19
- 09/04/2018: CP18/10: FCA regulated fees and levies: Rates proposals 2018/19
- 09/04/2018: DP18/3: Ex post impact evaluation framework
- 09/04/2018: PS18/13: FCA regulated fees and levies 2018/19
- 05/04/2018: CP18/9: Consultation on further remedies – Asset Management Market Study
- 05/04/2018: PS18/8: Asset Management Market Study remedies and changes to the handbook – Feedback and final rules to CP17/18
- 05/04/2018: FG18/3: Changing clients to post-RDR unit classes
- 05/04/2018: CP18/9: Second consultation on remedies following the asset management market study
- 05/04/2018: Press Release: FCA sets out next steps to improve competition in the UK’s asset management industry
- 04/04/2018: Press Release: Guess who’s back? Animatronic Arnie returns to raise awareness of PPI deadline
- 04/04/2018: FCA News Stories: Information for investors in the Collateral Companies
- 03/04/2018: Press Release: Insurance firms still failing to meet FCA general insurance renewal rules
- 28/03/2018: FCA News Stories: Easy read guide on everyday banking
- 28/03/2018: FCA Speech: EU withdrawal: transition and financial regulation
- 27/03/2018: FCA News Stories: Consumer Credit: 4 years of FCA regulation
- 27/03/2018: PS18/7: Staff incentives, remuneration and performance management in consumer credit firms
- 27/03/2018: FG18/2: Staff incentives, remuneration and performance management in consumer credit firms
- 27/03/2018: GC18/1: Proposed guidance on financial crime systems and controls: insider dealing and market manipulation
- 26/03/2018: Press Release: FCA announces changes to advice on pension transfers
- 26/03/2018: Press Release: FCA wins case against Capital Alternatives Limited and others
- 26/03/2018: CP18/7: Improving the quality of pension transfer advice
- 26/03/2018: PS18/6 Advising on Pension Transfers
- 23/03/2018: GC18/1: Proposed guidance on financial crime systems and controls: insider dealing and market manipulation
- 23/03/2018: Press Release: Alex Hope Sentenced to 16 months’ imprisonment for Perverting the Course of Justice
- 22/03/2018: Press Release: British and Australian regulators strengthen cooperation on FinTech through Enhanced Cooperation Agreement
- 22/03/2018: FCA Speech: Women in finance: keeping up the pressure for progress
- 21/03/2018: Press Release: FCA sets out its Approach to Supervision and Enforcement
- 20/03/2018: Press Release: FCA announces redress scheme for rent-to-own firm PerfectHome
- 20/03/2018: FCA Speech: Beyond regulation: thinking creatively about consumer credit
- 19/03/2018: FCA Speech: Regulating innovation: a global enterprise
- 19/03/2018: FCA Speech: Transforming culture in financial services
- 15/03/2018: FCA Speech: Outlining the FCA’s approach to authorisation
- 15/03/2018: FCA Speech: Getting affordability right in consumer credit
- 15/03/2018: FCA News Stories: Motor Finance – update
- 14/03/2018: PS18/5: Powers in relation to LIBOR contributions
- 14/03/2018: FCA Speech: Accomplishments of the last 5 years
- 12/03/2018: DP18/2: Transforming culture in financial services
- 12/03/2018: CP18/6: Addendum
- 12/03/2018: DP18/2: Transforming culture in financial services
- 12/03/2018: Press Release: FCA publishes discussion paper on transforming culture in financial services
- 07/03/2018: Press Release: Alex Hope pleads guilty to perverting the course of justice
- 06/03/2018: Press Release: FCA bans former Co-operative Bank Chair, Paul Flowers, from the financial services industry
- 05/03/2018: Press Release: FCA fines and bans former Deutsche Bank trader, Guillaume Adolph
- 02/03/2018: Press Release: Restrictions imposed on Beaufort Securities Limited (BSL) and Beaufort Asset Clearing Services Limited (BACSL) and both Firms are placed into insolvency
- 02/03/2018: CP18/06: Quarterly Consultation Paper No. 20
- 01/03/2018: Press Release: FCA value measures pilot having a positive impact
- 01/03/2018: FCA Speech: Recent developments in financial markets
- 27/02/2018: FCA Speech: The Consumer Credit landscape today
- 27/02/2018: FCA Speech: From Diocletian to pay day loans: what can we learn from successful and unsuccessful price regulation?
- 27/02/2018: Press Release: New credit card rules introduced by the FCA
- 27/02/2018: Press Release: The FCA fines Vanquis £1,976,000 and orders Vanquis to pay compensation to customers
- 27/02/2018: PS18/4: Credit card market study: Persistent debt and earlier intervention – feedback to CP17/43 and final rules
- 23/02/2018: PS18/3: Perimeter guidance on personal recommendations on retail investments
- 20/02/2018: Press Release: FCA launches call for input on the use of technology to achieve smarter regulatory reporting
- 20/02/2018: FCA News Stories: Operation of the MoU with the Bank of England for market infrastructure - 2017 performance statement
- 19/02/2018: FCA News Stories: Update on: CBL Insurance Europe dac placed into provisional administration
- 19/02/2018: Press Release: FCA and US CFTC sign Arrangement to collaborate on FinTech innovation
- 13/02/2018: Press Release: FCA and PRA appoint new Chair of the FSCS
- 12/02/2018: Press Release: FCA publishes report on the supervision of Algorithmic Trading
- 09/02/2018: FCA News Stories: TPR and FCA: Our strategy for pensions
- 09/02/2018: Press Release: Convicted illegal money lender sentenced to three and a half years imprisonment
- 08/02/2018: Press Release: Dharam Prakash Gopee guilty of acting as an illegal money lender
- 05/02/2018: CP18/5: EU Benchmarks Regulation Implementation (DEPP and EG)
- 05/02/2018: FCA Speech: The Future of the City
- 05/02/2018: FCA News Stories: Update to proposed delay on the Insurance Distribution Directive (IDD)
- 02/02/2018: Press Release: FCA seeks feedback on non-workplace pensions
- 02/02/2018: DP18/01: Effective competition in non-workplace pensions
- 02/02/2018: Effective competition in non-workplace pensions: DP18/1
- 01/02/2018: Press Release: Nausicaa Delfas appointed Executive Director of International
- 31/01/2018: High-cost Credit Review – update
- 31/01/2018: Press Release: Samrat Bhandari sentenced in FCA prosecution of £1.4 million investment scheme
- 31/01/2018: Press Release: FCA publishes update on high-cost credit work
- 30/01/2018: FCA News Stories: Rent-to-own – update
- 30/01/2018: Press Release: FCA urges action on interest-only mortgages
- 29/01/2018: Press Release: FCA warns of increased risk of online investment fraud, as investors lose £87k a day to binary options scams
- 26/01/2018: FCA Speech: Building cyber resilience
- 26/01/2018: Press Release: FCA publishes decision notices against One Call Insurance Services Limited and John Lawrence Radford
- 25/01/2018: Press Release: FCA fines Interactive Brokers (UK) Limited £1,049,412 for poor market abuse controls and failure to report suspicious client transactions
- 24/01/2018: CP18/4: The European Money Market Funds (MMF) Regulation
- 23/01/2018: FG18/1: Sourcebook for professional body supervisors on anti-money laundering supervision
- 22/01/2018: Press Release: Financial Conduct Authority consults on widening access to the Financial Ombudsman Service for small businesses
- 22/01/2018: FCA News Stories: The FCA and Practitioner Panel launch joint survey for 2018
- 22/01/2018: PS18/2: Client money and unbreakable deposits
- 22/01/2018: FG18/1: Summary of feedback received
- 22/01/2018: CP18/3: Consultation on SME access to the Financial Ombudsman Service and Feedback to DP15/7: SMEs as Users of Financial Services
- 19/01/2018: PS18/1: Insurance Distribution Directive implementation - Feedback and near-final rules to CP17/33 and other IDD consultations
- 18/01/2018: CP18/2: Financial Services Compensation Scheme - Management Expenses Levy Limit 2018/19
- 18/01/2018: FCA News Stories: ESMA’s Call for Evidence on temporary product intervention measures applicable to contracts for difference and binary options sold to retail clients
- 12/01/2018: Press Release: FCA issues list of unauthorised binary options providers
- 08/01/2018: FCA News Stories: 2018 fines
- 08/01/2018: Press Release: FCA fines and bans former RBS trader, Neil Danziger
- 05/01/2018: Press Release: Charles Randell appointed new Chair of the FCA
- 04/01/2018: CP18/1: Aligning the Financial Services Compensation Scheme levy time period
- 03/01/2018: Effective today: MiFID II Implementation
- 01/01/2018: Effective today: PRIIPs KID Regulation to be implemented by all affected (exception for UCITs) (PRIIPs Delayed by 12 months from original implementation date of 31/12/2016)
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