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Here to help with Regulation and Compliance
What’s New 2017
Developments in UK Financial Services Regulation
2017 REGULATORY NEWS 2016 REGULATORY NEWS 2015 REGULATORY NEWS 2014 REGULATORY NEWS 2013 REGULATORY NEWS
REGULATORY NEWS 2017:
- 31/12/2019: Effective today: UCITS must comply with PRIIPs KID Regulation (end of 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 date 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)
- 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
- 24/04/2017: Closing date for comments on CP17/2 (CASS: All proposals except those in relation to EMIR and MiFIR RTS)
- 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: Effective today: PS16/24 Capping early exit pension charges for applicable firms
- 13/03/2017: Closing date for comments on CP16/41: (MLAR)
- 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
- 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)
- 20/02/2017: Closing date for comments on MS15/2.2 (Asset Management Interim Report)
- 17/02/2017: Closing date for comments on CP16/43 (MiFID II all except FEES)
- 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
- 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. 20/01/2017
- 19/01/2017: FCA Speech: Practical implications of US law on EU practice 19/01/2017
- 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
- 05/01/2017: Press Release: Fake FCA emails
- 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)
- 04/01/2017: Final Notice: Howard Coles
- 04/01/2017: Final Notice: Sterling Bathrooms Limited
- 04/01/2017: Final Notice: Michael James Automotive Limited
- 04/01/2017: Final Notice: Swiss Watch Trading Limited
- 03/01/2017: Final Notice: Mymoneyman Finance Limited
- 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)
News & Views
What Concerns You Now:
2017 REGULATORY NEWS 2016 REGULATORY NEWS 2015 REGULATORY NEWS 2014 REGULATORY NEWS 2013 REGULATORY NEWS