Compound Growth

© Compound Growth Limited 2012-2017

• 31/12/2019:   Effective today: UCITS must comply with PRIIPs KID Regulation (end of five year transitional period)
• - -/- -/2018:   Senior Managers Regime & Certification Regime extended to All Regulated Firms (proposed)
• 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 of 31/12/2016)
• 02/12/2017:   FCA Deadline for receiving MiFID II cross-border service passport notifications
• - -/10/2017:  Submission Deadline: First annual submission notifying breaches of the Conduct Rules including other staff who are not within the Senior Managers Regime or Certification Regime.
• 31/07/2017:   FCA deadline for MIFID II establishment passport notifications
• 13/07/2017:   Effective today: SFTR (Disclosure requirements re: fund’s pre-contractual documents to managers of funds constituted before 12/01/2016)
• 11/07/2017:   Closing date for comments on GC17/4 (FAMR: sections 2, 3 and 5: streamlined advice, fact find and the factsheet for employers and trustees. 
• 03/07/2017: FCA deadline for MiFID II Data reporting services providers (DRSPs) applying for authorisation, (with the exception of a non-equity CTP where firms should apply for authorisation by March 2019)
• 03/07/2017:   FCA deadline for  MiFID II Investments firms applying for authorisation or a variation of permission
• 30/06/2017:   Effective today: PIFs Capital Adequacy Rules - additional minimum capital increase for majority of B3 firms
• 26/06/2017:   Effective today: The 4th Money Laundering Directive
• 31/05/2017:   Submission Deadline: First CRS Reports due to HMRC by Financial Institutions relating to 2016 calendar year
• 23/05/2017:   Closing date for comments on GC17/4 (FAMR: section 4 non-advised services)
• 14/05/2017:   Closing date for comments on CP17/4 (Review of the effectiveness of primary markets)
• 14/05/2017:   Closing date for comments on DP17/2 (Review of the effectiveness of primary markets)
• 03/05/2017:   PS17/10: Remuneration in CRD IV firms
• 03/05/2017:   PS17/9: Guidance on the duty of responsibility
• 03/05/2017:   PS17/7: Whistleblowing in UK branches of foreign banks
• 03/05/2017:   Frequently asked questions on remuneration: Remuneration Codes (SYSC 19A and 19D)
• 03/05/2017:   PS17/8: Applying conduct rules to all non-executive directors in the banking and insurance sectors
• 02/05/2017:   PS17/6: Disclosure rules following application of PRIIPs Regulation
• 02/05/2017:   Final Notice 2017: Ashby Sales
• 02/05/2017:   Final Notice 2017: Padraig Keenan
• 02/05/2017:   Final Notice 2017: JT Commercials
• 02/05/2017:   Final Notice 2017: Gokcek Limited
• 02/05/2017:   Final Notice 2017: Andre Fridmann
• 02/05/2017:   Final Notice 2017: Mohammed Khalid
• 02/05/2017:   Final Notice 2017: Janice Maureen Tomlinson
• 02/05/2017:   Final Notice 2017: Dale (83) Limited
• 02/05/2017:   Final Notice 2017: HRS (Luton) Limited
• 02/05/2017:   PS17/6: Disclosure rules following application of PRIIPs Regulation
• 28/04/2017:   Handbook Notice No.43
• 26/04/2017:   FCA Speech: The FCA's regional FinTech engagement
• 26/04/2017:   Press Release: Financial Conduct Authority publishes first set of data under new complaints rules
• 25/04/2017:   Press Release: FCA Board appoints new members to the Regulatory Decisions Committee
• 25/04/2017:   Press Release: FCA Board appoints new members to the Regulatory Decisions Committee
• 24/04/2017:   Closing date for comments on CP17/2 (CASS: All proposals except those in relation to EMIR and MiFIR RTS)
• 24/04/2017:   FCA Speech: "Expect the unexpected" - cyber security - 2017 and beyond  
• 24/04/2017:   FG17/4: Summary of feedback received
• 24/04/2017:   FG17/4: The fair treatment of mortgage customers in payment shortfall: impact of automatic capitalisations
• 18/04/2017:   FS17/1: Our Mission 2017
• 18/04/2017:   CP17/12: FCA Regulated fees and levies: rates proposals 2017/18
• 18/04/2017:   FCA Speech: Andrew Bailey speech at press conference for the publication of FCA corporate documents
• 18/04/2017:   Press Release: The FCA publishes its Mission and Business Plan
• 18/04/2017:   Closing date for comments on GC17/2 (Treatment of PEPs)
• 13/04/2017:   CP17/11: Implementation of the revised Payment Services Directive (PSD2)
• 13/04/2017:   CP17/11: Draft: Payment Services and Electronic Money – Our Approach
• 12/04/2017:   Occasional Paper 26: From advert to action - behavioural insights into the advertising of financial products
• 12/04/2017:   Occasional Paper No. 26: Infographic
• 12/04/2017:   Occasional Paper No. 26: From advert to action: behavioural insights into the advertising of financial products
• 12/04/2017:   Closing date for HM Treasury Consultation on new Money Laundering Regulations 2017
• 11/04/2017:   GC17/4: Financial Advice Market Review (FAMR): implementation part I
• 10/04/2017:   DP17/3: Discussion Paper on distributed ledger technology
• 07/04/2017:   Press Release:  FCA bans and fines two individuals for market abuse
• 07/04/2017:   Press Release:  Statement on the Financial Conduct Authority’s enforcement investigation into issues relating to HBOS Reading
• 06/04/2017:   GC17/4: Financial Advice Market Review (FAMR): implementation part I
• 03/04/2017:   FCA Speech: The expanding scope of individual accountability for corporate misconduct
• 03/04/2017:   Press Release: FCA proposes new rules for credit card firms to help millions of customers get out of persistent debt
• 03/04/2017:   CP17/10 infographic: Proposed package of remedies
• 03/04/2017:   CP17/10 infographic: Helping customers in persistent debt
• 03/04/2017:   Final Notice 2017: Gareth McCrone
• 03/04/2017:   CP17/10: Credit card market study: consultation on persistent debt and earlier intervention remedies
• 03/04/2017:   CP17/10: Consultation on persistent debt and earlier intervention remedies
• 01/04/2017:   Effective today: Firms to make the necessary changes to their renewal communications by today (PS16/21: General insurance markets)
• 31/03/2017:   Press Release:  FCA publishes near final rules on MiFID II and encourages firms to submit applications for MiFID II authorisation
• 31/03/2017:   Effective today: PS16/24 Capping early exit pension charges for applicable firms
• 31/03/2017:   PS17/5: Markets in Financial Instruments Directive II implementation – Policy Statement I
• 31/03/2017:   CP17/8: Markets in Financial Instruments Directive II Implementation – Consultation Paper V
• 31/03/2017:   Final Notice 2017: Ann Burke
• 31/03/2017:   Final Notice 2017: Stephen Moore
• 31/03/2017:   Final Notice 2017: Reuben Cunningham
• 31/03/2017:   Final Notice 2017: Home Systems AV LLP
• 31/03/2017:   Final Notice 2017: Central Auto Care Ltd
• 31/03/2017:   Handbook Notice 42
• 31/03/2017:   CP17/9: PSR regulatory fees 2017/18
• 31/03/2017:   Effective today: PS16/24 Capping early exit pension charges for applicable firms
• 31/03/2017:   Press Release:  FCA publishes near final rules on MiFID II and encourages firms to submit applications for MiFID II authorisation
• 30/03/2017:   Press Release: FCA fines former investment banker for sharing confidential information over WhatsApp
• 29/03/2017:   Final Notice: Philip Gee
• 29/03/2017:   Final Notice: Ashton Patterson
• 29/03/2017:   Final Notice: David Stephen Hancock
• 28/03/2017:   Press Release: Tesco to pay redress for market abuse
• 28/03/2017:   Final Notice: Tesco Plc
• 23/03/2017:   Impact assessment: Strengthening the alignment between risk and reward – remuneration rules for the banking sector
• 23/03/2017:   Impact assessment: Retirement income data requests
• 23/03/2017:   Impact assessment: Wind-down planning guidance
• 23/03/2017:   Impact assessment: Changes to the unfair terms legislation sections of the Handbook
• 23/03/2017:   Press Release: New Chair of the FCA’s Smaller Business Practitioner Panel Announced
• 22/03/2017:   Final notice: Healthy Homes Clean Air Limited
• 22/03/2017:   Final Notice: Lakeside Window Systems Limited
• 22/03/2017:   Final Notice: Lakeside Window Systems Limited
• 21/03/2017:   FCA Statement: Fake FCA Emails
• 21/03/2017:   Press Release: Nick Stace appointed as Non Executive Director
• 17/03/2017:   FCA News Stories: David Geale discusses competition and innovation on FinTech Insider
• 16/03/2017:   GC17/2: Treatment of politically exposed persons (PEPs) under the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017
• 16/03/2017:   FCA Speech:  Culture in financial institutions: it’s everywhere and nowhere
• 14/03/2017:   Final Notice: Swift Transfer Limited
• 14/03/2017:   Final Notice: Stuart Watkins Cars
• 14/03/2017:   Final Notice: Nazia Naweed Shah
• 14/03/2017:   Final Notice: Jonathan David Lee
• 13/03/2017:   Final Notice: Reliable Runners Limited
• 13/03/2017:   Final Notice: Amjad Motors Limited
• 13/03/2017:   Closing date for comments on CP16/41: (MLAR)
• 10/03/2017:   GC17/1: Changes to the way firms calculate redress for unsuitable defined benefit pension transfers
• 10/03/2017:   FCA Speech:  The view from the regulator: developing our approach
• 10/03/2017:   Press Release:  FCA publishes update to pension redress methodology
• 09/03/2017:   Press Release: Financial regulators of Japan and UK announce Exchange of Letters on Co-operation Framework to support innovative FinTech companies
• 07/03/2017:   Closing date for comments on CP16/40 (Conduct of Rules for CFD providers)
• 07/03/2017:   Effective today: SMR: New regulatory reference rules take effect (PS16/22)
• 07/03/2017:   Effective today: Individual Accountability: Conduct Rules will apply to ‘other staff' who are not within the SMR or Certification Regime
• 07/03/2017:   FCA News Stories: Senior Managers and Certification Regime: one year on
• 07/03/2017:   PS17/4: Handbook changes to reflect the introduction of the Lifetime ISA
• 06/03/2017:   CP17/7: Insurance Distribution Directive Implementation – Consultation Paper I
• 06/03/2017:   Press Release: FCA publishes Insurance Distribution Directive consultation
• 03/03/2017:   Final Notice 2017: Alan Swift
• 03/03/2017:   Final Notice 2017: Steven Brady
• 03/03/2017:   Final Notice 2017: Jake Vickers
• 03/03/2017:   Final Notice 2017: Andrew Maher
• 03/03/2017:   Final Notice 2017: Lyndon Alun Davies
• 03/03/2017:   Final Notice 2017: Juceff & Co Trading Limited
• 03/03/2017:   FCA News Stories: Firms continue to fail to meet our expectations on their use of dealing commission
• 03/03/2017:   FCA News Stories: Investment managers still failing to ensure effective oversight of best execution
• 03/03/2017:   CP17/6: Quarterly Consultation Paper No. 16
• 02/03/2017:   Final Notice 2017: LCA Glasgow Photography Limited
• 02/03/2017:   Final Notice 2017: Homeworx Building Contractors Limited
• 02/03/2017:   Final Notice 2017: Finance Made Simple Ltd
• 02/03/2017:   PS17/3: Payment protection insurance complaints
• 02/03/2017:   PS17/3: Payment protection insurance complaints: feedback on CP16/20 and final rules and guidance
• 02/03/2017:   Press Release: FCA finalise plans to place a deadline on PPI complaints
• 01/03/2017:   Press Release: Inside the mind of a scammer: FCA reveals the tactics investment fraudsters use to deceive over 55s  
• 01/03/2017:   FCA Speech: Efficiency and effectiveness: our approach to primary markets
• 01/03/2017:   Press Release: FCA proposes reforms to the availability of information in the UK equity IPO process
• 01/03/2017:   CP17/5: Reforming the availability of information in the UK equity IPO process
• 28/02/2017:   FCA Correspondence: The FCA’s expectations of firms that operate a loan-based crowdfunding platform which facilitates loans to lending businesses
• 28/02/2017:   Final Notice 2017: Stuart Graham
• 28/02/2017:   Final Notice 2017: Steven Paul Billing
• 28/02/2017:   Final Notice 2017: John Abbott  
• 28/02/2017:   Final Notice 2017: Autocity (Scotland) Limited
• 27/02/2017:   Final Notice 2017: GM Contracts Limited
• 27/02/2017:   Final Notice 2017: The Encore Trading Company Limited
• 27/02/2017:   FG17/2: The Financial Policy Committee’s recommendation on loan to income ratios in mortgage lending: General guidance
• 27/02/2017:   FG17/2: The Financial Policy Committee’s recommendation on loan to income ratios in mortgage lending
• 24/02/2017:   PS17/2: Changes to DTR 2.5: delay in the disclosure of inside information
• 24/02/2017:   Handbook Notice 41
• 24/02/2017:   Closing date for comments on CP16/36 (Regulatory reporting: retirement income data)
• 24/02/2017:   Closing date for comments on CP16/37 (Implementing information prompts in the annuity market)
• 23/02/2017:   Closing date for comments on CP17/2 (CASS: EMIR and MiFIR RTS proposals)
• 23/02/2017:   Closing date for comments on PRA CP4216 (Insurance Special Purpose Vehicles (ISPVs) & Insurance Linked Securities (ILS) business)
• 23/02/2017:   FCA News Stories: FCA Statement on EMIR 1 March 2017 variation margin deadline
• 23/02/2017:   FCA News Stories: The FCA and the Practitioner Panel launch new joint survey for 2017
• 23/02/2017:   Regulation Round-up special issue - February 2017
• 23/02/2017:   Press Release: FCA publishes new data on trends in the retirement income market
• 22/02/2017:   Press Release: FCA and OSC sign Co-operation Agreement to support innovative businesses
• 22/02/2017:   FCA News Stories: Operation of the MoU with the Bank of England for market infrastructure - 2016 performance statement
• 21/02/2017:   Final Notice 2017: Glen Eagleson
• 21/02/2017:   Final Notice 2017: John Wilkinson
• 21/02/2017:   Final Notice 2017: XYZ Agencies Limited
• 21/02/2017:   Final notice 2017: Bishop Car Sales Limited
• 20/02/2017:   Closing date for comments on MS15/2.2 (Asset Management Interim Report)
• 20/02/2017:   Final Notice 2017: Yasmin Khan
• 20/02/2017:   Final Notice 2017: James Pollock
• 20/02/2017:   Final Notice 2017: Alan Norman Gregson
• 17/02/2017:   Press Release: Express Gifts Ltd enters into £12.5m redress scheme
• 17/02/2017:   Closing date for comments on CP16/43 (MiFID II all except FEES)
• 16/02/2017:   Regulation round-up February 2017
• 08/02/2017:   DP17/1: Illiquid assets and open-ended investment funds
• 07/02/2017:   Final Notice 2017: Pager Services Ltd
• 07/02/2017:   Final notice 2017: CW Interiors Limited
• 07/02/2017:   Final Notice 2017: Dr Saim Köksal trading as Arcis Management Consultancy
• 06/02/2017:   Final Notice 2017: Steven Maoudis trading as Montana Debt Management
• 03/02/2017:   Final Notice 2017: David Stanley Mather
• 02/02/2017:   Final Notice 2017: John Green
• 02/02/2017:   Final Notice 2017: Michael Fern
• 02/02/2017:   Final Notice 2017: Jordanne Moy
• 02/02/2017:   Final Notice 2017: Mark Leaper
• 02/02/2017:   Final Notice 2017: Royston Motors
• 02/02/2017:   Final Notice 2017: Lee Paul Fishwick
• 02/02/2017:   Final Notice 2017: Michael Wilkinson Mortgages (trading as Michael Wilkinson)
• 01/02/2017:   Press Release: FCA and PRA publish final changes to enhance enforcement decision-making processes
• 01/02/2017:   PS17/1: Implementation of the Enforcement Review and the Green Report
• 31/01/2017:   Press Release: Temporary prohibition of short selling: CTT - Correios de Portugal, S.A.
• 31/01/2017:   Press Release: FCA fines Deutsche Bank £163 million for serious anti-money laundering controls failings
• 31/01/2017:   FCA News: 2017 fines
• 31/01/2017:   CP17/3: Proposed Handbook changes to reflect the new regulatory framework for Insurance Linked Securities
• 30/01/2017:   Effective today: FCA MiFID II Gateway Opens - Accepting applications for MiFID II Authorisation and Variation of Permissions (VoP)
• 30/01/2017:   Handbook Notice: Direction under section 55U and section 60 and related provisions of the Financial Services and Markets Act 2000
• 26/01/2017:   Handbook Notice 40
• 26/01/2017:   Press Release: Free trade in financial services and global regulatory standards: friends not rivals
• 26/01/2017:   FCA Regulation round-up January 2017
• 25/01/2017:   FCA Speech: Beyond economics?
• 25/01/2017:   Press Release: Financial Conduct Authority publishes general insurance value measures scorecard
• 25/01/2017:   Closing date for comments on CP16/32 (Lifetime ISA Handbook Changes)
• 24/01/2017:   Press Release: Pension scheme operators are at risk from smarter scams
• 24/01/2017:   Press Release: Advising on pension transfers – our expectations
• 23/01/2017:   CP17/2: CASS 7A and the special administration regime review
• 31/01/2017:   Final Notice 2017: Deutsche Bank
• 27/01/2017:   Final notice 2017: Eco Home Alternatives Limited
• 25/01/2017:   Final Notice 2017: Christopher Pickerill
• 25/01/2017:   Final Notice 2017: Baildon Motor Company
• 25/01/2017:   Final Notice 2017: Matt-Pack Limited
• 24/01/2017:   Final Notice 2017: Nigel Thomas
• 24/01/2017:   Final Notice 2017: Reuben Anderson
• 23/01/2017:   CP17/2: CASS 7A and the special administration regime review
• 20/01/2017:   Final Notice 2017: Notion Capital Managers LLP
• 20/01/2017:   Press Release: HSBC voluntarily agrees to provide approximately £4m redress for historical debt collection practices
• 20/01/2017:   Press Release: Temporary prohibition of short selling: Banco Comercial Português, S.A.
• 19/01/2017:   FCA Speech: Practical implications of US law on EU practice
• 19/01/2017:   FCA Statement: The Financial Conduct Authority achieves 58th place in Stonewall’s Top 100 Employers 2017 rankings
• 19/01/2017:   FG 17/1: Guarantor loans: default notices
• 18/01/2017:   Closing date for comments on GC16/6 (Fair Treatment of Mortgage Customers)
• 16/01/2017:   CP17/1: Financial Services Compensation Scheme (FSCS) – management expenses levy limit 2017/18
• 16/01/2017:   Closing date for comments on CP16/43 (MiFID II FEES)
• 16/01/2017:   Closing date for comments on CP16/33 (Regulatory Fees & Levies)
• 13/01/2017:   Effective today: SFTR (Disclosure requirements re: fund’s periodic reports to investors)
• 13/01/2017:   Closing date for comments on CP16/39 (Quarterly Consultation Chapter 2)
• 09/01/2017:   Closing date for comments on DP16/4 (SMR: Overall responsibility and the legal function)
• 09/01/2017:   Closing date for comments on CP16/27 (Conduct Rules for Non-executive Directors)
• 09/01/2017:   Closing date for comments on CP16/26 (SMR - Duty of Responsibility)
• 09/01/2017:   Closing date for comments on CP16/25 (Whistleblowing in Foreign Branches)
• 09/01/2017:   Final Notice - Sujeel Ranjha: Cancellation imposed for breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector.
• 06/01/2017:   Closing date for comments on CP16/38 (Delay in Disclosure of Inside Information)
• 05/01/2017:   Final Notice - Afzal Ali: Cancellation imposed for breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector.
• 05/01/2017:   Final Notice – Christopher James Gocher: Cancellation imposed for breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector.
• 05/01/2017:   Final Notice – North Nottinghamshire College: Cancellation imposed for breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector.
• 05/01/2017:   Final Notice – Eco Solutions (UK) Limited: Cancellation imposed for breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector.
• 05/01/2017:   Final Notice – One Call Vehicle Leasing Southwest Limited: Cancellation imposed for breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector
• 04/01/2017:   Closing date for comments on CP16/29 (MiFID II Investor Protections)
• 04/01/2017:   Closing date for comments on CP16/30 (Transaction disclosure in workplace pensions)
• 03/01/2017:   Press Release:  Our future Mission: key themes from your feedback
• 02/01/2017:   Closing date for comments on CP16/39 (Quarterly Consultation Chapter 6)
• 01/01/2017:   Effective today: New rules on deferral and clawback come into force for performance years starting on or after today (New Remuneration Rules)

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