Events listed in [FCA] Financial Conduct Authority
Financial Conduct Authority to tackle competition problems with the trade data ...
ID 22107
In view of the recent findings from a review of the market on trading data which is important to a wide range of users including asset managers and investment firms (please see EventID 19931 for a detailed description of the findings), the Financial Conduct Authority (FCA) is now launching a so-called wholesale data market study. The purpose of the study is to find out ...
EMIRR 1.1 Application EMIRR 1.2 Purpose EMIRR 1.3 Definitions EMIRR 2.2 Procedure ...
ID 22102
In view of the upcoming requirements of financial, non-financial, and central counterparties as regards the reporting of derivative transactions to trade repositories (TRs) under the retained European Market Infrastructure Regulation (UK EMIR) and corresponding processing requirements of trade repositories, the Financial Conduct Authority (FCA) has now published a first set of new rules of its new EMIRR Sourcebook. The rules all affect trade repositories ...
UK list of exempted shares [xlsx]
ID 22078
The Financial Conduct Authority (FCA) has published a revised list of FCA exempt shares from short selling notification requirements as of March 1, 2023. These shares are also NOT subject to the uncovered short sales restrictions set out in the Retained Short Selling Regulation (UK SSR). Please note that the exempt shares list of the European Securities and Markets Authority (ESMA) has been removed ...
Regulatory Initiatives Grid dashboard – February 2023
ID 22066
Following the postponement at year-end 2022, the Financial Conduct Authority (FCA), the Prudential Regulatory Authority (PRA), the HM Treasury itself, the Pension Regulator (TPR) and others have now published an updated version of their regulatory initiatives grid. The grid shows important regulatory initiatives both in the short and long run of ALL regulatory agencies regulating financial market participants in the United Kingdom, even categorized ...
BSPS DBAAT Template [xlsx] BSPS DBAAT Instructions [pdf] DBAAT and redress ...
ID 22055
The Financial Conduct Authority, FCA, has published several documents in connection with the new redress scheme for customers that were wrongfully or poorly advised to transfer out of the British Steel Pension Scheme (BSPS) following the financial difficulties of the scheme’s sponsor in 2016 and the subsequent restructuring in 2017 and 2018. Specifically, the documents are aimed at and shall be used by persons ...
IFPR implementation observations: quantifying threshold requirements and managing ...
ID 22049
The Financial Conduct Authority, FCA, has published the findings from an initial review of investment firms’ progress in implementing the internal capital adequacy and risk assessment (ICARA) process and reporting requirements under the new Investment Firms Prudential Regime (IFPR) which came into force on January 1, 2022 and which is outlined in the MIFIDPRU Prudential Standards section of the FCA Handbook. To recall, the ...
Technical instructions to firms [xlsx]
ID 22024
In view of the upcoming changes to the reporting requirements of counterparties to derivative transactions (please see EventID 19865 in this context), the Financial Conduct Authority (FCA) has now published a first set of corresponding validation rules to be used by trade repositories for verifying the completeness and correctness of the submitted data. The validation rules cover the margin activity report and the *trade ...
Handbook Notice 107 [pdf]
ID 22020
The Financial Conduct Authority (FCA) has published Handbook Notice 107 to summarize the latest amendments to its Handbook in accordance with the following Consultations and FCA Instruments: Figure 1 – Oversight Table ##### FCA 2023/3, CP21/31, PS23/2, EventID #19865 This Instrument was issued as part of Policy Statement 2023/2 by the FCA on February 24, 2023 to be effective on September 30, ...
Incoming messages [zip]
ID 22015
In view of the upcoming changes to the reporting requirements of counterparties to derivative transactions (please see EventID #19865 in this context), the Financial Conduct Authority (FCA) has now published a third set of corresponding documents to provide further guidance to both trade repositories and counterparties for the submission or receipt of the below listed reports: 1. The Derivatives Trade Report (message) to be ...
MoU between Banka Slovenije, the Bank of England and the FCA [pdf]
ID 22010
On February 24, 2023, the Financial Conduct Authority (FCA) published a Memorandum of Understanding (MoU) that was signed between the FCA, the Prudential Regulation Authority (PRA), and the Banka Slovenije, the Central Bank of Slovenia, on the cross-border cooperation in supervisory matters. The MoU follows the UK’s exit from the European Union and the subsequent treatment of the UK as a third country to ...