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Wed 17 Jul, 2019
The official Financial Regulation Journal of SAIFM
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FCA – Call for input on PRIIPS

The introduction of PRIIPs has not been plain sailing for investment product providers and even after a lengthy gestation period, there are still a number of uncertainties in how PRIIPs should be applied in terms of scope and also in terms of the content of the Key Information Document.

FCA scrutinises market abuse risk management at asset managers

The FCA is reportedly sending questionnaires and making supervisory visits to asset management firms, focusing on their market abuse surveillance.

Financial Stability Board Consults on Compensation Data Reporting to Address Misconduct...

  As part of its 2015 workplan to reduce misconduct risk in financial institutions, the Financial Stability Board is consulting on recommendations for data reporting...

Central Banks put weight behind voluntary codes

The Bank of England (the “BoE”) has now issued statements of commitment to three voluntary codes for wholesale markets that were published last year – the FX Global Code, the UK Money Markets Code and the Global Precious Metals Code. Six other central banks have also signed up to the FX Global Code.

No Leniency Shown to First AIM Issuer Fined by the FCA...

The Financial Conduct Authority (FCA) has brought its first enforcement action under the EU Market Abuse Regulation (MAR), which has had direct effect in the UK since 3 July 2016.

ESMA to use new powers to attack the sale of CFDs...

  ESMA has launched a public consultation on measures to protect retail investors investing in contracts for difference (CFDs) and binary bets. Potential changes include...