United Kingdom

Topic: FCA / PRA Handbook

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PRA policy statement on fees and levies for 2020/21

On 7 July 2020, the PRA published Policy Statement 16/20 ‘Regulated fees and levies: rates for 2020/21’ (PS16/20). In PS16/20 the PRA provides feedback to the responses received to Consultation Paper: 4/20 ‘Regulated fees and levies: Rates proposals 2020/21’ (CP4/20). The PRA received five responses to CP4/20. No changes have been made to the proposals … Continue Reading

FCA Policy Development update

On 3 July 2020, the FCA published its latest Policy Development update. The update provides some information on recent and upcoming FCA publications but should not be regarded as comprehensive. In terms of future publications, the policy development update notes that the FCA will publish, among other things, a consultation paper in Q2 2020 covering … Continue Reading

FCA: Handbook Notice 78

On 26 June 2020, the FCA published Handbook Notice 78. This Handbook Notice describes the changes to the FCA Handbook and other material made by the FCA Board under its legislative and other statutory powers on 21 May 2020 and 25 June 2020 under the following instruments: Conduct of Business Sourcebook (Pension Transfers) (No 3) … Continue Reading

Latest FCA Quarterly Consultation Paper

On 5 June 2020, the FCA published Consultation Paper 20/7: Quarterly Consultation No 28 (CP20/7). In CP20/7 the FCA sets out miscellaneous amendments to the FCA Handbook comprising: Rule clarification to confirm the ability of the Financial Services Compensation Scheme to declare in default firms and successors subject to the proposed new moratorium under the … Continue Reading

FCA Handbook Notice 77

On 22 May 2020, the FCA published Handbook Notice 77. This Handbook Notice describes the changes to the Handbook and other material made by the FCA Board under its legislative and other statutory powers on 13 May and 21 May 2020. Where relevant, it also refers to the development stages of that material, enabling readers … Continue Reading

FCA Handbook Notice 75

On 27 March 2020, the FCA published Handbook Notice 75. In this Handbook Notice the FCA summarises the changes it made in the FCA Handbook on 26 March 2020 using the following instruments: Handbook Administration (No 52) Instrument 2020; Financial Services Compensation Scheme (Management Expenses Levy Limit 2020/2021) Instrument 2020; Listing Rules (Contents of Circulars) … Continue Reading

PRA occasional consultation paper: March 2020

On 26 March 2020, the PRA published Consultation Paper 3/20: Occasional Consultation Paper – March 2020 (CP3/20). In CP3/20 the PRA sets out its proposals to make minor amendments to PRA rules, supervisory statements (SS), national specific templates (NSTs) and associated LOG files, and the market risk sensitivities data item and associated instructions. Specifically CP3/20 … Continue Reading

Handbook Notice 74

On 27 February 2020, the FCA published Handbook Notice No 74. In Handbook Notice No 74 the FCA provides a brief summary of: Consultation Paper 19/10: Pension Schemes (Disclosure of Transaction Costs and Administration Charges) (Amendment) Instrument 2020; Consultation Paper 19/23: Insurance; Conduct of Business Sourcebook (Access to Travel Insurance) Instrument 2020; and Fees (Miscellaneous … Continue Reading

FCA Policy development update

On 7 February 2020, the FCA updated its Policy development update webpage providing information on recent and upcoming FCA publications. In terms of upcoming publications, the FCA states that in March it will publish a consultation paper on exit fees in investment platforms and comparable firms.… Continue Reading

Latest FCA Policy development update

On 10 January 2020, the FCA published its latest Policy development update which provides information about recent and upcoming publications by the regulator. In terms of forthcoming publications the Policy development mentions that the FCA will publish: consultation paper on exit fees in investment platforms and comparable firms (March 2020); consultation paper on open-ended investment … Continue Reading

FCA Quarterly Consultation No. 26

On 6 December 2019, the FCA published Consultation Paper 19/33: Quarterly Consultation No. 26 (CP19/33) In CP19/33 the FCA seeks views from interested stakeholders on proposed miscellaneous changes to the following parts of the FCA Handbook: clarification of the rules relating to Financial Services Compensation Scheme claims against appointed representatives and principals (chapter 2); changes … Continue Reading

Latest FCA policy development update

On 6 December 2019, the FCA published its latest policy development update setting out information on recent and forthcoming FCA publications. Forthcoming FCA publications include: consultation and discussion on Investment Market Study remedies (to be published alongside the Market Study Final Report) – expected March 2019; consultation on price discrimination in the cash savings market … Continue Reading

FCA consults on proposed 2020/21 regulatory fees and levies

On 13 November 2019, the FCA published Consultation Paper 19/30: FCA regulated fees and levies: rates proposals 2020/21 (CP19/30). In CP19/30 the FCA consults on its periodic fees for the next financial year (1 April 2020 to 31 March 2021) and any proposed changes to application fees and other fees. The FCA also consults on the Financial … Continue Reading

PRA Occasional Consultation paper – October 2019

On 7 October 2019, the PRA published Occasional Consultation Paper 25/19: Occasional Consultation Paper (CP25/19). In CP25/19 the PRA proposes minor amendments to PRA Rulebook Parts, Supervisory Statements (SS), Statements of Policy (SoP) and relevant templates. In chapter 2, the PRA sets out proposals to update SS20/15: Supervising building societies’ treasury and lending activities and … Continue Reading

FCA Handbook Notice 67

On 28 June 2019, the FCA published Handbook Notice 67. This Handbook Notice provides a summary of the changes the FCA board made to the Handbook on 30 May 2019 and 27 June 2019.  The relevant instruments are: Mortgages and Home Finance (Peer to Peer) Instrument 2019; Operating an Electronic System in Relation to Lending … Continue Reading

FCA Policy Development update

On 7 June 2019, the FCA updated its ‘policy development update’ webpage, detailing recent and upcoming FCA publications. Amongst other things, the updated webpage notes the following publications are expected to be published shortly: policy statement on the high-cost credit review: buy now pay later – due June 2019; price discrimination in the cash savings … Continue Reading
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