Capital Markets and Asset Management Regulatory News

Compliancy Services Directors
Our Directors and Consultants share their insights and opinions on the important regulatory issues facing the UK Capital Markets and Assest Management sector.

 

 

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MiFID ll – FCA Policy Statement - Dealing and Managing
3rd August 2017 - Financial Conduct Authority

The ‘Markets in Financial Instruments Directive II Implementation – Policy Statement II’ is the definitive MiFID ll publication issued by the Financial Conduct Authority under Policy Statement 17/14.

The FCA publication sets out the final rules for MiFID ll on conduct issues, including research, inducements, client categorisation, best execution, the appropriateness test, taping, client assets and perimeter guidance.

Compliancy Services Ltd has abridged the policy statement with a series of 11 Regulatory Updates. In this series, this regulatory update is number 9/11 which summarises the relevant parts of MiFID ll covering: Dealing and Managing

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Financial Advice Market Review (FAMR): implementation Part II and insistent clients
1st August 2017 - Financial Conduct Authority

The Financial Advice Market Review (FAMR) was launched jointly by HM Treasury and the FCA in August 2015 to explore ways in which government, industry and regulators could stimulate the development of a market which delivers affordable and accessible financial advice and guidance to everyone, at all stages of their lives.

The FCA is now consulting on:

  • Rules and guidance that relate to two of the recommendations made by the Financial Advice Market Review (FAMR) in its final report

  • Guidance developed by the Advice Unit

  • Guidance on insistent clients

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MiFID ll – FCA Policy Statement - High Frequency Trading (HFT) and Algorithmic Trading
31st July 2017 - Financial Conduct Authority

The ‘Markets in Financial Instruments Directive II Implementation – Policy Statement II’ is the definitive MiFID ll publication issued by the Financial Conduct Authority under Policy Statement 17/14.

The FCA publication sets out the final rules for MiFID ll on conduct issues, including research, inducements, client categorisation, best execution, the appropriateness test, taping, client assets and perimeter guidance.

Compliancy Services Ltd has abridged the policy statement with a series of 11 Regulatory Updates. In this series, this regulatory update is number 8/11 which summarises the relevant parts of MiFID ll covering: High Frequency Trading (HFT) and Algorithmic Trading

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MiFID ll – FCA Policy Statement - Appropriateness, Suitability and Information to Clients
27th July 2017 - Financial Conduct Authority

The ‘Markets in Financial Instruments Directive II Implementation – Policy Statement II’ is the definitive MiFID ll publication issued by the Financial Conduct Authority under Policy Statement 17/14.

The FCA publication sets out the final rules for MiFID ll on conduct issues, including research, inducements, client categorisation, best execution, the appropriateness test, taping, client assets and perimeter guidance.

Compliancy Services Ltd has abridged the policy statement with a series of 11 Regulatory Updates. In this series, this regulatory update is number 6/11 which summarises the relevant parts of MiFID ll covering: Appropriateness, Suitability and Information to Clients.

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Aspects of the MifID ll Suitability Requirements
13th July 2017 - European Securities and Markets Authority

The European Securities and Markets Authority (ESMA) has published a Consultation Paper (CP) on draft guidelines on certain aspects of the suitability requirements under the Markets in Financial Instruments Directive (MiFID II).

While the objectives of the suitability assessment under MiFID I remain unchanged under MiFID II, the obligations have been strengthened and specified further under the new legislative framework by including additional requirements.

The consultation closes on 13th October 2017. ESMA will consider the feedback it receives to the consultation in Q4 2017/Q1 2018 and expects to publish a final report in Q1/Q2 2018.

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MiFID ll – FCA Policy Statement - Trading Venues
3rd July 2017 - Financial Conduct Authority

The ‘Markets in Financial Instruments Directive II Implementation – Policy Statement II’ is the definitive MiFID ll publication issued by the Financial Conduct Authority under Policy Statement 17/14.

The FCA publication sets out the final rules for MiFID ll on conduct issues, including research, inducements, client categorisation, best execution, the appropriateness test, taping, client assets and perimeter guidance.

Compliancy Services Ltd has abridged the policy statement with a series of 11 Regulatory Updates. In this series this regulatory update is number 11/11 which summarises the relevant parts of MiFID ll covering: Trading Venues.

Login to the online compliance management system to read the full detail.

MiFID ll – FCA Policy Statement - Inducements / Remuneration / Conflicts of Interest
3rd July 2017 - Financial Conduct Authority

The ‘Markets in Financial Instruments Directive II Implementation – Policy Statement II’ is the definitive MiFID ll publication issued by the Financial Conduct Authority under Policy Statement 17/14.

The FCA publication sets out the final rules for MiFID ll on conduct issues, including research, inducements, client categorisation, best execution, the appropriateness test, taping, client assets and perimeter guidance.

Compliancy Services Ltd has abridged the policy statement with a series of 11 Regulatory Updates. In this series this regulatory update is number 7/11 which summarises the relevant parts of MiFID ll covering: Inducements / Remuneration / Conflicts of Interest

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MiFID II – FCA Policy Statement - Taping
3rd July 2017 - Financial Conduct Authority

The ‘Markets in Financial Instruments Directive II Implementation – Policy Statement II’ is the definitive MiFID ll publication issued by the Financial Conduct Authority under Policy Statement 17/14.

The FCA publication sets out the final rules for MiFID ll on conduct issues, including research, inducements, client categorisation, best execution, the appropriateness test, taping, client assets and perimeter guidance.

Compliancy Services Ltd has abridged the policy statement with a series of 11 Regulatory Updates. In this series, this regulatory update is number 5/11 which summarises the relevant parts of MiFID ll covering - Taping.

Login to the online compliance management system to read the full detail.

MiFID ll – FCA Policy Statement
3rd July 2017 - Financial Conduct Authority

The ‘Markets in Financial Instruments Directive II Implementation – Policy Statement II’ is the definitive MiFID ll publication issued by the Financial Conduct Authority under Policy Statement 17/14.

The FCA publication sets out the final rules for MiFID ll on conduct issues, including research, inducements, client categorisation, best execution, the appropriateness test, taping, client assets and perimeter guidance.

Compliancy Services Ltd has abridged the policy statement with a series of 11 Regulatory Updates.

In this series, this regulatory update is number 4/11 which summarises the relevant parts of MiFID ll covering: Transaction Reporting.

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MIFID II - FCA Policy Statement – Eligible Counterparties
3rd July 2017 - Financial Conduct Authority

The ‘Markets in Financial Instruments Directive II Implementation – Policy Statement II’ is the definitive MiFID ll publication issued by the Financial Conduct Authority under Policy Statement 17/14. The FCA publication sets out the final rules for MiFID ll on conduct issues, including research, inducements, client categorisation, best execution, the appropriateness test, taping, client assets and perimeter guidance. Compliancy Services Ltd has abridged the policy statement with a series of 11 Regulatory Updates. In this series, this regulatory update is number 3/11 which summarises the relevant parts of MiFID ll covering: Eligible Counterparties.

Login to the online compliance management system to read the full detail.

MIFID II – FCA Policy Statement – Transparency
3rd July 2017 - Financial Conduct Authority

The ‘Markets in Financial Instruments Directive II Implementation – Policy Statement II’ is the definitive MiFID ll publication issued by the Financial Conduct Authority under Policy Statement 17/14.

The FCA publication sets out the final rules for MiFID ll on conduct issues, including research, inducements, client categorisation, best execution, the appropriateness test, taping, client assets and perimeter guidance.

Compliancy Services Ltd has abridged the policy statement with a series of 11 Regulatory Updates. In this series, this regulatory update is number 2/11 which summarises the relevant parts of MiFID ll covering - Transparency

Login to the online compliance management system to read the full detail.

MIFID II – FCA Policy Statement – Client Assets (CASS)
3rd July 2017 - Financial Conduct Authority

The ‘Markets in Financial Instruments Directive II Implementation – Policy Statement II is the definitive MiFID ll publication issued by the Financial Conduct Authority under Policy Statement 17/14.

The FCA publication sets out the final rules for MiFID ll on conduct issues, including research, inducements, client categorisation, best execution, the appropriateness test, taping, client assets and perimeter guidance.

Compliancy Services Ltd has abridged the policy statement with a series of 11 Regulatory Updates. In this series this regulatory update is number 1/11 which summarises the relevant parts of MiFID ll covering - Client Money and Assets including safekeeping

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ESMA consults on Money Market Funds rules
25th May 2017 - European Securities and Markets Authority

The European Securities and Markets Authority (ESMA) has published a Consultation Paper (CP) on the Money Market Funds Regulation (MMFR).

The CP contains proposals on draft technical advice (TA), draft implementing technical standards (ITS), and guidelines under the MMFR.

The key proposals relate to:

  • Asset liquidity and credit quality

  • The establishment of a reporting template and stress test scenarios

These represent the detailed rules required for the implementation of the new European Union regulatory framework aimed at ensuring the stability and integrity of money market funds.

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Remuneration in CRD IV firms PS 17/10
3rd May 2017 - Financial Conduct Authority

The European Banking Authority (EBA) published Guidelines in December 2015, which set out its views on how the CRD IV rules should be applied. These came into force on 1st January 2017.

To comply with the Guidelines, the FCA needed to make some amendments to its Handbook and guidance. The FCA issued Consultation Paper 16/28 in September 2016, which set out proposed changes to its Handbook, and minor changes to the existing proportionality guidance.

The FCA also consulted on new non-Handbook guidance to address frequently asked questions on remuneration.

This Policy Statement sets out the response to that consultation and the final rules and guidance.

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Implementation of MiFID II – Part 2 (PS9/17)
28th April 2017 - Prudential Regulation Authority

This Prudential Regulation Authority Policy Statement provides final policy as part of the PRA’s transposition of the Markets in Financial Instruments Directive II (MiFID II) following Consultation Paper 43/16 ‘Implementation of MiFID II: Part 2’.

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