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Here to help with Regulation and Compliance
What’s New for Spread Betting Firms
Developments in UK Financial Services Regulation
Spread Betting Regulatory Updates & Relevant News:
- 09/12/2019: Effective today: SM&CR will commence for solo-regulated firms
- 31/12/2019: Effective today: UCITS must comply with PRIIPs KID Regulation (end of transitional period) (PRIIPs KID Exemption for UCITS likely to be extended to 31 December 2021)
- 24/11/2019: Deadline: SM&CR Form K and Form O submissions to FCA
- 03/10/2019: Closing date for comments: CP19/22: Banning Derivatives & ETNs Referencing Cryptoassets to Retail
- 13/09/2019: Closing date for comments: CP19/20: Adequate Financial Resources
- 27/08/2019: Information for customers of AFX Markets Limited
- 01/09/2019: Effective today: PS19/18 Restrictions to CFD-Like Options apply
- 01/08/2019: Effective today: PS19/18 Restrictions to CFDs Apply
- 16/07/2019: Replacing GABRIEL: New platform to replace Gabriel and improve the way we collect data from firms
- 10/07/2019: Senior Managers and Certification Regime: Finalising FCA rules
- 03/07/2019: CP19/22: Prohibiting the sale to retail clients of investment products that reference cryptoassets
- 01/07/2019: PS19/18: Restricting contract for difference products sold to retail clients
- 10/06/2019: Closing date HM Treasury Consultation: Transposition of 5MLD
- 22/05/2019: FCA Press Release: FCA wins case against unauthorised forex firm
- 21/05/2019: FCA Press Release: Over £27 million reported lost to crypto and forex investment scams
- 26/04/2019: FCA statement on delay to publication of final rules for CFDs products and CFD-like options
- 08/03/2019: PS19/8: Increasing the award limit for the Financial Ombudsman Service
- 08/03/2019: FG19/2: Senior Managers and Certification Regime: Guidance on statements of responsibilities and Responsibilities Maps for FCA firms
- 08/03/2019: PS19/7: Finalising the Directory
- 08/03/2019: FG19/2: SM&CR: Guidance on Statements of Responsibilities and Responsibilities Maps
- 07/03/2019: Closing date for comments to CP18/38 Extending Measures to other Products (similar to CFDs)
- 22/02/2019: FCA statement on onshoring ESMA’s temporary intervention measures on retail CFD and binary options products
- 07/02/2019: Closing date for comments to CP18/38 Restricting CFDs to Retail Clients
- 05/02/2019: Press Release: Manraj Virdee sentenced to two years for illegally operating an investment scheme & fraud | Spreadbetting Fraudster sentenced to two years in prison
- 23/01/2019: CP19/3: Guidance on Cryptoassets
- 23/01/2019: CP19/4: Optimising the Senior Managers & Certification Regime and feedback to DP16/4 – Overall responsibility and the legal function
- 09/01/2019: Dear CEO: Financial promotions & Unregulated Business When the FCA’s financial promotions rules are considered in conjunction with the product intervention restrictions on CFD activities, CFD & Spread bet providers should think carefully how and who to promote their products to, to ensure they remain fully compliant. Read more
- 21/12/2018: Closing date for comments to CP18/31 Increase to FOS Award Limits
- 13/12/2018: FG18/5: Guidance on financial crime systems and controls: insider dealing and market manipulation
- 07/12/2018: CP18/38: Restricting contract for difference products sold to retail clients and a discussion of other retail derivative products
- 07/12/2018: CP18/38: Technical annex
- 06/11/2018: The role of regulation in encouraging good culture
- 01/11/2018: FS18/2: Feedback statement: Call for Input on Digital Regulatory Reporting
- 30/10/2018: FCA News: An update on our approach to authorisation and our Brexit preparations
- 29/10/2018: Cryptoasset Taskforce publishes report on UK approach to cryptoassets
- 25/10/2018: Brexit and financial services: where have we got to?
- 18/10/2018: CP18/32: Recovering the costs of the Office for Professional Body Anti-Money-laundering Supervision (OPBAS): proposed fee rates for 2018/19
- 16/10/2018: PS18/21: SME access to the Financial Ombudsman Service - near-final rules:
- 15/10/2018: DP18/8: Climate change and green finance
- 11/10/2018: GC18/4: Senior Managers and Certification Regime: Proposed guidance on statements of responsibilities and responsibilities maps for FCA firms
- 10/10/2018: CP18/28: Brexit: proposed changes to the Handbook and Binding Technical Standards – first consultation
- 10/10/2018: The FCA consults on its approach ahead of the UK’s exit from the EU
- 08/10/2018: FCA Warning: Digital Worldwide OU t/a Royal CFDs
- 01/10/2018: Press Release: FCA fines Tesco Bank £16.4m for failures in 2016 cyber attack
- 07/08/2018: FCA Warning: Global View International Services Limited t/a Royal Markets Online and Royal CFDs
- 01/08/2018: FCA statement on selling high-risk speculative investments to retail clients following ESMA’s action on CFD products
- 01/08/2018: Effective today: ESMA Product Intervention Measures apply to CFDs.
- 01/08/2018: FCA statement on selling high-risk speculative investments to retail clients following ESMA’s action on CFD products
- 28/06/2018: FCA Warning: CFD Royal (clone of FCA authorised firm)
- 26/06/2018: FCA Warning: CFD Corporate
- 18/04/2018: FCA Warning: Pacific Sunrise UK Ltd T/A CFD Stocks
- 06/04/2018: FCA Statement: Cryptocurrency derivatives
- 27/03/2018: FCA Statement: ESMA’s temporary product intervention measures applied to retail CFD and binary option products
- 20/02/2018: FCA Warning: Chemmi Holdings t/a Max CFD
- 09/02/2018: FCA Warning: Prime CFDs
- 29/01/2018: FCA Press Release: FCA warns of increased risk of online investment fraud, as investors lose £87k a day to binary options scams
- 25/01/2018: FCA fines Interactive Brokers (UK) Limited £1,049,412 for poor market abuse controls and failure to report suspicious client transactions
- 18/01/2018: Regulation round-up January 2018
- 18/01/2018: ESMA’s Call for Evidence on temporary product intervention measures applicable to contracts for difference and binary options sold to retail clients
- 10/01/2018: Providers and distributors of contracts for difference (CFD) products: resolving failings which may cause significant consumer harm
- 15/12/2017: FCA statement on ESMA’s ongoing work on possible product intervention measures applicable to retail CFD and binary option products
- 14/11/2017: FCA News: Consumer warning about the risks of investing in cryptocurrency CFDs
- 29/06/2017: CFD firms fail to meet our expectations on appropriateness assessments
- 26/06/2017: Effective today: The 4th Money Laundering Directive
- 31/05/2017: Submission Deadline: First CRS Reports due to HMRC by Financial Institutions relating to 2016 calendar year
- 07/04/2017: Press Release: FCA bans and fines two individuals for market abuse
- 25/01/2017: FCA uploads video interview regarding concerns over the CFD Market
- 06/12/2016: CP16/40: Contracts for differences - enhancing the conduct of business regime infographic
- 06/12/2016: CP16/40: Enhancing conduct of business rules for firms providing contract for difference products to retail clients
- 06/12/2016: Press Release: FCA proposes stricter rules for contract for difference products
- 28/07/2016: FX remediation programme: our next steps
- 03/07/2016: Effective today: The Market Abuse Regulation (MAR) will apply in the UK and across the EU replacing the current Market Abuse Directive (MAD).
- 30/06/2016: Effective today: Complaints Handling rules for extending the informal response period to three business days along with the requirement to send a summary resolution communication.
- 12/02/2016: Closing date for comments on GC 15/6 (IT Outsourcing)
- 04/02/2016: Closing date for comments on CP 15/35: Policy proposals and Handbook changes related to the implementation for Market Abuse Regulation (MAR)
- 02/02/2016: FCA issues Dear CEO Letter to CFD Firms: Client take-on review in firms offering contract for difference (CFD) products
- 01/01/2016: UK adopts Common reporting Standards (CRS) as laid out in DAC- Financial Institutions must comply ready for CRS reporting in 2017
- 12/11/2015: GC15/6: Proposed guidance for firms outsourcing to the ‘cloud’ and other third-party IT services
- 05/11/2015: Press Release: FCA consults on Market Abuse Regulation policy proposals and Handbook changes
- 05/11/2015: CP15/35: Policy proposals and Handbook changes related to the implementation of the Market Abuse Regulation
- 26/10/2015: Effective today: Complaints Handling Rules rules on limiting call charges for consumers.
- 19/10/2015: Closing date for comments on CP 15/29 Amendments to Various forms & New FCA Forms
- 15/10/2015: Statement from the Financial Conduct Authority following announcement by HM Treasury of changes to the Senior Managers’ Regime to affect all firms
- 06/08/2015: Effective today: TRUP v3.1 - reporting of sections 7.5 Trading capacity, 7.18.2 Use of INTERNAL and 9.7 Internal Transactions
- 23/07/2015: PS 15/19: Improving complaints handling, feedback on CP14/30 and final rules
- 23/06/2015: Press Release: The PRA and FCA announce new rules on remuneration
- 23/06/2015: PS 15/15: FCA Regulated fees and levies
- 23/06/2015: PS 15/16: Strengthening the Alignment of Risk and Reward: New Remuneration Rules
- 23/06/2015: PRA PS 12/15: New Remuneration Rules: Strengthening the alignment of risk and reward
- 05/05/2015: Closing date for comments to CP 15/8 chapter 3 & 4
- 27/04/2015: FG 15/7: Guidance on financial crime systems and controls
- 06/04/2015: Closing date for comments to CP 15/8 chapter 2
- 30/03/2015: Final Notice: Kenneth George Carver fined for Market Abuse breaches (insider dealing)
- 24/03/2015: FCA’s Business Plan 2015/16
- 24/03/2015: Press Release: FCA publishes its Business Plan for 2015/16 and announces details of new supervision and authorisation division
- 13/03/2015: FG 15/4: Social media and customer communications: The FCA’s supervisory approach to financial promotions in Social Media
- 13/03/2015: Press Release: FCA confirms approach for financial promotions in social media
- 06/03/2015: CP 15/8: Quarterly Consultation Paper No.8 - Amends to CASS and CONC; Remuneration Reporting; Changes for AIFMs & depositaries
- 06/03/2015: Press Release: Phillip Boakes sentenced to 10 years for defrauding investors following FCA prosecution
- 06/02/2015: FG 15/3: Version 3.1 of the Transaction Reporting User Pack (TRUP)
- 06/02/2015: Effective today: TRUP v3.1 (section exceptions - 7.5 Trading Capacity, 7.18.2 INTERNAL and 9.1 Internal Transactions)
- 22/01/2015: FG 15/1: Retail investment advice: Clarifying the boundaries and exploring the barriers to market development
- 12/12/2014: CP 14/30: Improving complaints handling
- 14/11/2014: GC 14/7: Proposed guidance on financial crime systems and controls
- 28/08/2014: Press Release: FCA fines spread bet broker £490,000 for transaction reporting failures
- 06/08/2014: GC 14/6: Social media and customer communications: The FCA’s supervisory approach to financial promotions
- 31/07/2014: TR 14/13: Best Execution and Payment for Order Flow
- 11/07/2014: GC 14/3: Retail Investment Advice: Clarifying the boundaries and exploring barriers to market development
- 04/07/2014: Closing date for responses to GC 14/2
- 12/06/2014: Effective today: The FCA’s ‘Financial Crime: a Guide for Firms’ - FC Part 1 | FC Part 2
- 08/05/2014: GC 14/2: Consultation on revision of the Transaction Reporting Users Pack (TRUP)
- 11/10/2013: CP 13/5: Compound Growth Limited response to CP 13/5
- 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
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