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Here to help with Regulation and Compliance
What’s New for Spread Betting Firms
Developments in UK Financial Services Regulation
Spread Betting Regulatory Updates & Relevant News:
- - -/- -/2018: Senior Managers Regime & Certification Regime extended to All Regulated Firms
- 26/06/2017: Effective today: The 4th Money Laundering Directive
- 25/01/2017: FCA uploads video interview regarding concerns over the CFD Market
- 06/12/2016: CP16/40: Contracts for differences - enhancing the conduct of business regime infographic
- 06/12/2016: CP16/40: Enhancing conduct of business rules for firms providing contract for difference products to retail clients
- 06/12/2016: Press Release: FCA proposes stricter rules for contract for difference products
- 03/07/2016: Effective today: The Market Abuse Regulation (MAR) will apply in the UK and across the EU replacing the current Market Abuse Directive (MAD).
- 31/05/2017: Submission Deadline: First CRS Reports due to HMRC by Financial Institutions relating to 2016 calendar year
- 30/06/2016: Effective today: Complaints Handling rules for extending the informal response period to three business days along with the requirement to send a summary resolution communication.
- 12/02/2016: Closing date for comments on GC 15/6 (IT Outsourcing)
- 04/02/2016: Closing date for comments on CP 15/35: Policy proposals and Handbook changes related to the implementation for Market Abuse Regulation (MAR)
- 02/02/2016: FCA issues Dear CEO Letter to CFD Firms: Client take-on review in firms offering contract for difference (CFD) products
- 01/01/2016: UK adopts Common reporting Standards (CRS) as laid out in DAC- Financial Institutions must comply ready for CRS reporting in 2017
- 12/11/2015: GC15/6: Proposed guidance for firms outsourcing to the ‘cloud’ and other third-party IT services
- 05/11/2015: Press Release: FCA consults on Market Abuse Regulation policy proposals and Handbook changes
- 05/11/2015: CP15/35: Policy proposals and Handbook changes related to the implementation of the Market Abuse Regulation
- 26/10/2015: Effective today: Complaints Handling Rules rules on limiting call charges for consumers.
- 19/10/2015: Closing date for comments on CP 15/29 Amendments to Various forms & New FCA Forms
- 15/10/2015: Statement from the Financial Conduct Authority following announcement by HM Treasury of changes to the Senior Managers’ Regime to affect all firms
- 06/08/2015: Effective today: TRUP v3.1 - reporting of sections 7.5 Trading capacity, 7.18.2 Use of INTERNAL and 9.7 Internal Transactions
- 23/07/2015: PS 15/19: Improving complaints handling, feedback on CP14/30 and final rules
- 23/06/2015: Press Release: The PRA and FCA announce new rules on remuneration
- 23/06/2015: PS 15/15: FCA Regulated fees and levies
- 23/06/2015: PS 15/16: Strengthening the Alignment of Risk and Reward: New Remuneration Rules
- 23/06/2015: PRA PS 12/15: New Remuneration Rules: Strengthening the alignment of risk and reward
- 05/05/2015: Closing date for comments to CP 15/8 chapter 3 & 4
- 27/04/2015: FG 15/7: Guidance on financial crime systems and controls
- 06/04/2015: Closing date for comments to CP 15/8 chapter 2
- 30/03/2015: Final Notice: Kenneth George Carver fined for Market Abuse breaches (insider dealing)
- 24/03/2015: FCA’s Business Plan 2015/16
- 24/03/2015: Press Release: FCA publishes its Business Plan for 2015/16 and announces details of new supervision and authorisation division
- 13/03/2015: FG 15/4: Social media and customer communications: The FCA’s supervisory approach to financial promotions in Social Media
- 13/03/2015: Press Release: FCA confirms approach for financial promotions in social media
- 06/03/2015: CP 15/8: Quarterly Consultation Paper No.8 - Amends to CASS and CONC; Remuneration Reporting; Changes for AIFMs & depositaries
- 06/03/2015: Press Release: Phillip Boakes sentenced to 10 years for defrauding investors following FCA prosecution
- 06/02/2015: FG 15/3: Version 3.1 of the Transaction Reporting User Pack (TRUP)
- 06/02/2015: Effective today: TRUP v3.1 (section exceptions - 7.5 Trading Capacity, 7.18.2 INTERNAL and 9.1 Internal Transactions)
- 22/01/2015: FG 15/1: Retail investment advice: Clarifying the boundaries and exploring the barriers to market development
- 12/12/2014: CP 14/30: Improving complaints handling
- 14/11/2014: GC 14/7: Proposed guidance on financial crime systems and controls
- 28/08/2014: Press Release: FCA fines spread bet broker £490,000 for transaction reporting failures
- 06/08/2014: GC 14/6: Social media and customer communications: The FCA’s supervisory approach to financial promotions
- 31/07/2014: TR 14/13: Best Execution and Payment for Order Flow
- 11/07/2014: GC 14/3: Retail Investment Advice: Clarifying the boundaries and exploring barriers to market development
- 04/07/2014: Closing date for responses to GC 14/2
- 12/06/2014: Effective today: The FCA’s ‘Financial Crime: a Guide for Firms’ - FC Part 1 | FC Part 2
- 08/05/2014: GC 14/2: Consultation on revision of the Transaction Reporting Users Pack (TRUP)
- 11/10/2013: CP 13/5: Compound Growth Limited response to CP 13/5
- 23/07/2013: CP 13/5: Compound Growth Limited response to question 48
- 12/07/2013: CP 13/5: Review of the client assets regime for investment businesses
Compound Growth can help your firm keep up to date with the latest Regulatory News and Compliance Updates:
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