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London City

Final FCA Report on Implementation Observations for the IFPR

Nov 2023

On 27 November 2023 the FCA published the final report on generalised input identified as good and bad practice from the subset of ICARA submissions assessed.

City Sky

Market Watch 75

October 2023

The FCA recently published Market Watch 75, in this edition, the FCA shares its observations about Market soundings since it published Market Watch 51 and 58. It also serves to remind businesses of the formalised procedures established by the UK Market Abuse Regulation's market soundings regime.

London Taxi

Market Watch 74

July 2023

The FCA relies heavily on transaction reports for effective market oversight. The newsletter states that, while there has been a trend of improved data quality, financial firms still have some way to go to improve their transaction reporting processes.

London Abstract

FCA publishes 2023/24 Business Plan

April 2023

The FCA have published their Business Plan for 2023/24, which sets out their priorities for the second year of their strategy.

Houses of Parliament

Market Watch 73

April 2023

The FCA has published its 73rd  Market Watch Newsletter, discussing its observations and findings from the recent
market abuse peer review into firms that offer Contracts for Difference (CFD's) and Spread Bets (CFD providers).

London Abstract

The Strong and Simple Framework: Liquidity and Disclosure requirements for Simpler-regime Firms

February 2023

Consultation Paper | CP4/23

Bus on Bridge

Market Watch 72

January 2023

Market Watch 72 details the FCA’s recent research on the level of service offered by Data Reporting Services Providers (DRSPs), also known as Approved Publication Arrangements (APAs) and Approved Reporting Mechanisms (ARMs), to clients who employ a DRSP to fulfil their MiFID II regulatory reporting obligations.

Buckhingham Palace

Guidance on the stronger nudge to pensions guidance

January 2023

Consultation Paper CP21/11 and Policy Statement PS21/21

Canary Wharf London

The Pensions Dashboard Initiative

December 2022

Consultation Papers CP22/3 & CP22/25 and Policy Statement PS22/12

Snow

Market Watch 71

December 2022

This edition in brief: changes in advisory firms’ insider lists since the publication of Market Watch 60.

Pedestrian Bridge

Strengthening Financial promotion rules for high-risk investments

October 2022

Having issued a consultation in January 2022 (CP22/2), in policy statement PS22/10, the FCA are introducing new rules for firms approving and communicating financial promotions for high-risk investments, to ensure that consumers can make informed financial decisions.

Treasury Building London

Market Watch 70

October 2022

Market Watch 70 details recent observations on the transaction reporting and instrument reference data regimes.

Apartment Building

Recommendations on a comprehensive set of IFRS 9 Expected Credit Loss disclosures

September 2022

UK regulators jointly established and sponsored a UK taskforce (the ‘Taskforce’), who worked in order to prepare the third report regarding disclosures about expected credit losses (ECL).

Clock Square

Summary of Consultation Paper

September 2022

The FCA have set out a summary of Consultation Paper CP7/22 Credit Unions: Changes to the Regulatory Regime. 

Bus on Bridge

Guidance on the trading venue perimeter

September 2022

The purpose of CP22-18 is to provide new guidance on the regulatory perimeter for trading venues. The FCA aims to ensure that firms have greater certainty about the permissions they require to carry on their business and helps protect the integrity of the United Kingdom’s (UK) financial system.

Crane Construction

Consumer Duty

31st May 2022

Our key takeaways from the FCA's consultations (CP21-13 and CP21-36) on Consumer Duty for firms in retail markets.

Get a head start on what to expect and what you can do to prepare for the changes!

Commercial Buildings

STOR Reports

17th March 2022

Trends in STOR reports over the last five years -

FCA publishes data, we analyze!

Tall Buildings

One single rulebook under 'MIFIDPRU' says the FCA in its first consultation CP20/24 

18th January 2021

Our key takeaways from the FCA’s first consultation (CP20/24) on the new UK prudential regime ‘IFPR’

Documents and Blurred Business Men

5 Steps to FCA Authorisation

12th October 2020

Our 5 steps to obtain your FCA licence

Covent Garden

First Digital Asset Brokerage, Custodian, and MTF

18th August 2020

Archax recently authorised as first digital asset brokerage, custodian, and MTF!

Market Analysis

First Cryptocurrency Futures MTF

6th July 2020

Kraken recently authorised as the first cryptocurrency futures MTF!

London City

New Prudential Rules

1st May 2020

The good, the bad, the ugly- new prudential rules for investment firms to replace CRD/CRR June 2021 onwards!

London City

MTF's & OTF's

1st May 2020

Capital requirements for electronic trading platforms MTFs and OTFs to be drastically reduced! Smaller venues set to benefit!

Big Ben

Local Firms

1st May 2020

An end to the ‘local firm’ requirement! Local firms soon to be treated no different to full scope principal dealers for capital purposes!

London Town

New Capital Rules

1st May 2020

No more BIPRU50K and IFPRU125K for matched principal dealers! All hold €750K under the new capital rules!

London Taxi

Summarising the Key Points From the IFD/IFR

1st May 2020

We’ve cut out the work for you and summarised the key points stemming from the IFD/IFR! We are here to help!

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