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Here to help with Regulation and Compliance

Compound Growth

What’s New in 2013

Developments in UK Financial Services Regulation

2017 REGULATORY NEWS      2016 REGULATORY NEWS      2015 REGULATORY NEWS      2014 REGULATORY NEWS        2013 REGULATORY NEWS

REGULATORY NEWS 2013:

• 19/12/2013:   Closing date for responses to CP 13/13
• 19/12/2013:   Final Notice: FCA fines JLT Speciality Limited £1,800,000 for unacceptable approach to bribery and corruption risks
• 17/12/2013:   Press Release: Tribunal bans former trader for lying to the FCA
• 17/12/2013:   Press Release: FCA bans four for disgraceful failings in relation to occupational pension schemes
• 16/12/2013:   PS 13/12: Mortgage Market Review - data reporting
• 13/12/2013:   PS 13/11: Changes to the Listing Rules
• 13/12/2013:   PS 13/10:CRD IV for Investment Firms
• 13/12/2013:   Press Release: FCA fines Porta Verde £25,000 for serious failings in appointed representatives sales practices
• 12/12/2013:   Press Release: FCA fines former B&B Group Finance Director £30,000 for failings ahead of 2008 rights issue
• 11/12/2013:   Press Release: FCA fines Lloyds Banking Group £28,038,800 for serious sales incentive failings
• 06/12/2013:   CP 13/18: Quarterly Consultation Paper number 3
• 03/12/2013:   Closing date for responses to CP 13/10
• 26/11/2013:   Press Release: FCA fines SEI Investments (Europe) Limited £900,200 for Client Money Breaches
• 25/11/2013:   CP 13/17: Use of dealing commission
• 24/11/2013:   Price comparison websites
• 18/11/2013:   CP 13/16: Competition in the market for services provided by a Recognised Investment Exchange
• 10/11/2013:   Closing date for responses to CP 13/12
• 06/11/2013:   Closing date for responses to the remainder of the consultation for CP 13/9
• 05/11/2013:   CP 13/15: Enhancing the effectiveness of the listing regime
• 04/11/2013:   TR 13/10: Outsourcing in the asset management industry
• 31/10/2013:   TR 13/9: AML & Anti Bribery and Corruption controls at asset management and platform firms
• 31/10/2013:   Cash savings market study
• 31/10/2013:   CP 13/14: Regulatory fees and levies: policy proposals for 2014/15
• 29/10/2013:   Press Release: FCA fines Rabobank £105,000,000 for serious LIBOR-related misconduct
• 24/10/2013:   CP 13/13: The FCA’s regulatory approach to crowdfunding (and similar activities)
• 23/10/2013:   GC 13/7: Changing customers to post RDR unit classes
• 18/10/2013:   Press release: FCA fines two financial advisers £885,000
• 16/10.2013:   FCA confirms foreign exchange market investigation
• 15/10/2013:   PS 13/9: Publishing information about enforcement notices
• 11/10/2013:   CP 13/5: Compound Growth Limited response to CP 13/5
• 10/10/2103:   TR 13/8: The governance of unit linked funds
• 10/10/2013:   CP 13/12: CRD IV for investment firms
• 08/10/2013:   GC 13/6: Primary Market Bulletin No. 7
• 08/10/2013:   FG 13/9: Primary Market Bulletin No. 7
• 08/10/2103:   FG 13/8: A guide for Self-Invested Personal Pensions (SIPP) operators
• 08/10/2013:   FS 13/2: Feedback to Chapter 4 of QCP 13/3
• 07/10/2013:   Press Release: FCA fines Timothy Roberts and Andrew Wilkins £550,000
• 04/10/2013:   Final Notice: FCA fines Alison Moran £20,000
• 03/10/2013:   CP 13/11: Financial Services Compensation Scheme - unincorporated associations and partnerships
• 03/10/2013:   CP 13/10: Detailed proposals for the FCA regime for consumer credit
• 27/09/2013:   Market study into SME banking
• 26/09/2013:   Press Release: Clydesdale Bank fined £8,900,000 for failing to treat customers fairly
• 25/09/2013:   Press Release: ICAP Europe Limited fined £14,000,000 for significant failings in relation to LIBOR
• 25/09/2013:   TR 13/7:  PPI complaints: report on the fairness of medium-sized firms’ decisions and redress
• 19/09/2013:   Press Release: JPMorgan Chase Bank fined £137,610,000 for serious failing relating to its Chief Investment Office’s “London Whale”
• 18/09/2013:   GC 13/5 - Supervising retail investment advice: inducements and conflicts of interest
• 15/09/2013:   EMIR - Risk management of non-cleared OTC derivatives through portfolio reconciliation, dispute resolution, trade compression
• 13/09/2013:   Final Notice: FCA fines AXA Wealth Services Ltd £1,802,200 for failing to ensure suitability of advice
• 08/09/2013:   EBA Consultation on diversified indices closes
• 06/09/2013:   CP 13/9: Quarterly Consultation Paper No. 2
• 04/09/2013:   FCA Data Strategy
• 03/09/2013:   Press Release: FCA fines Aberdeen Asset Managers £7,200,000 for failing to protect client money
• 30/08/2013:   PS 13/7: Consumer credit - interim permission fees
• 30/08/2013:   PS 13/8: Consumer credit - carrying across some secondary legislation
• 29/08/2013:   FG 13/7: Dealing Fairly with interest-only mortgage customers who risk being unable to repay their loan
• 28/08/2013:   CP 13/8: Arrangements for the disclosure of regulated information
• 28/08/2013:   CP 13/7: Changes to the Listing Rules resulting from new regulations being implemented by BIS
• 27/08/2013:   TR 13/6: Mobile banking and payments
• 22/08/2013:   FG 13/6: Market Operators’ oversight of member firm compliance with rules
• 20/08/2013:   FG 13/5: The use of the group exclusion and the CREST regulated activity
• 16/08/2013:   Press Release: FCA fines two individuals £28,000 each for failing to monitor promotion of Unregulated Collective Investment Schemes
• 09/08/2013:   Press Release: FCA fines Guaranty Trust Bank £525,000 for failures in anti-money-laundering controls
• 05/08/2013:   FS 13/1: Transparency - Feedback on DP 13/1
• 31/07/2013:   CP 13/6: Capital Requirements for Investment Firms
• 30/07/2013:   GC 13/4: Primary Market Bulletin number 6
• 30/07/2013:   FG 13/4: Primary Market Bulletin Number 2 and Primary Market Bulletin Number 5
• 25/07/2013:   TR 13/: Supervising retail investment advice: how firms are implementing the RDR
• 23/07/2013:   CP 13/5: Compound Growth Limited response to question 48
• 12/07/2013:   CP  13/5: Review of the client assets regime for investment businesses
• 12/07/2013:   FG 13/3: Code of Practice for the relationship between external auditor and the supervisor

2017 REGULATORY NEWS      2016 REGULATORY NEWS      2015 REGULATORY NEWS      2014 REGULATORY NEWS        2013 REGULATORY NEWS

Read our latest articles, news and views affecting compliance and regulation in the UK Financial Services Industry.