Events listed in [FCA] Financial Conduct Authority

List of non-legal corrections and clarifications in the FCA Handbook

ID 26583
The Financial Conduct Authority (FCA) has published an updated version of its List of non-legal corrections and clarifications in the FCA Handbook which contains changes the regulator has recently made to its Handbook which were NOT outlined in any corresponding instrument. The modifications are technical in nature, including corrections and adjustments primarily for clarification, correction, and regulatory alignment purposes. They do NOT alter current ...
Asset Management
information

Duty calls: Future-proofing finance for everyone

ID 26578
The Financial Conduct Authority (FCA) has provided an update on its key achievements and milestones reached over the past year, highlighting a range of initiatives and actions aimed at improving consumer protection, tackling online harms, and promoting competition and positive change in the financial services sector. The key achievements and milestones are briefly described below; for all of them, please refer to the original ...
Asset Management
information

List of market makers and authorised primary dealers [pdf]

ID 26536
The Financial Conduct Authority (FCA) has published an updated list of UK authorized market makers and primary dealers pursuant to Article 17(13) of the retained EU Short Selling Regulation (UK SSR) which are exempt from short selling prohibitions in accordance with paragraph 1 or 3 of same regulation. A comparison with the previous list reveals that SPIRE EUROPE LIMITED (SPIRGB21) has been replaced by ...
Asset Management
consultation

CP23/31: Primary Markets Effectiveness Review: Feedback to CP23/10 and detailed ...

ID 26437
The Financial Conduct Authority, FCA, has issued a combined feedback statement and a new consultation on a proposed new listing regime in the UK and enhanced requirements of sponsors of issuing firms (new sponsoring regime). The paper comes in response to a consultation (CP23/10) that was launched in May 2023 (EventID 21064), in which the FCA presented some high level preliminary policy proposals on ...

FCA 2023/42: Data Reporting Services (Amendment) Instrument 2023

ID 26428
In view of the announced framework for a UK consolidated tape (please see EventID 24578 in this context), the Financial Conduct Authority (FCA) has published a new instrument (FCA 2023/42) to implement a first set of corresponding rules in the FCA Handbook. Specifically, this new instrument modifies the Glossary of definitions, the Senior Management Arrangements, Systems and Controls sourcebook (SYSC), the Conduct of Business ...

Further update to ancillary activities exemption for commodity derivatives ...

ID 26426
The Financial Conduct Authority, FCA, has published a follow-up statement to provide a further update on the market share test that is required by firms engaged in commodity derivatives trading to determine whether or not registration as a MiFID investment firm is needed, that is whether or not they can (continue to) rely on the ancillary activities exemption pursuant to [Article 2 of the ...

MAR 9.2A Consolidated tape providers MAR 9.2B Operating requirements MAR 9.2C ...

ID 26425
The Financial Conduct Authority (FCA) has updated its Handbook to implement first provisions for the introduction of a UK consolidated tape (please see EventID 24578 in this context for more information). Specifically, the FCA has inserted the following new Market Conduct Sourcebook provisions which will be effective on April 5, 2024: – MAR 9.2A Consolidated tape providers – MAR 9.2B Operating requirements – [MAR ...

FCA 2023/43: Technical Standards (Authorisation, Organisational Requirements and ...

ID 26423
The FCA has issued a new Instrument (FCA 2023/43) as regards the revocation of two technical standards in relation to data reporting services providers (DRSPs) that were retained by the UK following its exit from the EU. This move comes in an effort to repeal all retained EU legislation (REUL) in accordance with the Retained EU Law (Revocation and Reform) Act 2023 and to ...

CP23/33: The framework for a UK consolidated tape

ID 26420
The Financial Conduct Authority (FCA) has published a combined policy statement and consultation paper in relation to the introduction of a consolidated tape (CT) in the UK. As stated in the corresponding initial consultation paper (CP15/23) (EventID 22066), the aim of the CT is to improve availability and quality of market (trading) data while enhancing transparency and reducing overall market data costs, primarily by ...
Asset Management
consultation

CP23/32: Improving transparency for bond and derivatives markets

ID 26410
The Financial Conduct Authority (FCA) has issued a consultation paper (CP) as part of the Wholesale Markets Review (WMR) to enhance the transparency regime for bond and derivative markets in the UK. The proposed changes address issues in the current transparency regime which was retained following UK’s exit from the EU, including the following: – (overly) broad scope: Currently, all bonds and derivatives traded ...
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