Events listed in FCA Handbook

Asset Management
information

FCA operating service metrics 2022/23 table [pdf]

ID 24296
In an effort to enhance transparency over its supervisory activities, the Financial Conduct Authority (FCA) has published an updated Operating Service Metrics. The matrix sets out how well the Authority has met and is meeting its self-defined standards for the processing of notifications and applications of firms during the Authority’s supervisory years 2021, 2022, 2023 in terms of time required for the processes – ...
Asset Management
information

FCA and ICO confirm how firms can support savings customers

ID 24258
The Financial Conduct Authority, FCA, has published a press statement to inform that the FCA itself and the Information Commissioner’s Office (ICO) have sent a joint letter to the UK Finance and Building Societies Association to clarify their expectations given the current high interest rates and the fact that many savers have deposits with (extremely) low remuneration. Specifically, the letter makes reference to the ...
Asset Management
consultation

Social media guidance set for revamp

ID 24246
The Financial Conduct Authority (FCA) has released a press statement to inform of the launch of a consultation as regards a proposed new guidance on financial services and product promotions via social media. The new guidance would replace the old one (FG15/4) that was issued in 2015 and has not been updated since. FG15/4 contains principles for financial promotions on social media, mainly focusing ...
Asset Management
information

Temporary regulatory forbearance on MCOB 7.6.28R

ID 24227
The Financial Conduct Authority, FCA, has published a press statement in view of the new Mortgage Charter which may be viewed as a form of a „Code of Conduct“ in that it outlines a set of standards participating institutions (banks, building societies, other mortgage lenders) have committed to in order to assist residential mortgage borrowers who are or will be affected by high interest ...
Asset Management
consultation

Our Rule Review Framework

ID 24223
The Financial Conduct Authority (FCA) has published a draft version of its proposed Rule Review Framework which shall guide the Authority in its post-implementation review of existing or new rules and its assessment of the impact of such rules upon the financial market and market participants. The framework is also aimed at providing transparency to financial players over the regulator’s approach to rule reviews. ...
Asset Management
information

Investment pathways: Post-implementation review

ID 24155
The Financial Conduct Authority (FCA) has published a statement to present the findings from its post-implementation review of the investment pathways that must be offered by drawdown pension providers to investors that have not been advised with respect to their investments in accordance with the FCA’s policy statement (PS19/21). To recall, drawdown pension providers offer management and administrative services as regard pension drawdown accounts. ...
Asset Management
report / study

Liquidity Management multi-firm review

ID 24082
The Financial Conduct Authority, FCA, has published a press release to inform of the findings from a recent review of liquidity management practices of authorized fund managers and present some „good practices“ the FCA has observed in this context. The FCA also sets out its expectations as regards liquidity (risk) management which is why – according to the FCA – the findings should be ...
Asset Management
information

Dear CEO letter: Liquidity Management Multi-Firm Review [pdf]

ID 24065
The Financial Conduct Authority, FCA, has issued a Dear CEO Letter addressed at asset managers as regards their liquidity risk management practices and overall liquidity risk management framework. Specifically, the letter summarizes the key findings from a recent review of such practices which are also described in detail in a concurrently published press release (please see EventID 21955 in this context for more information). ...
Asset Management
information

FCA sets out expectation for fair and competitive saving rates

ID 24058
In view of the high inflation and subsequent high interest rates and consumer prices, the Financial Conduct Authority, FCA, has recently engaged with banks and building societies of offer fair interest rates on their savings products. In its now published press statement, the Authority acknowledges the efforts of some institutions, but also calls for further progress in this area. Specifically, the FCA states that ...

PS23/11: Guidance on the trading venue perimeter

ID 24053
Following a public consultation (CP22/18) on „Guidance on the trading venue perimeter“, in other words on guidance on the application of trading venue regulations towards specific market participants and systems (e.g. voice brokers or bulletin board operators), the Financial Conduct Authority (FCA) has now published a policy statement (PS23/11) in this context. In it, the Authority summarizes the responses it has received to its ...
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