United Kingdom

Topic: Horizon scanning

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What’s coming up in September?

Introduction Here is a short summary of some of the key regulatory milestones in September. International regulatory bodies – consultations closing 3 September 2021: Basel Committee on Banking Supervision consultation on technical amendments on G-SIB assessment methodology review process. 6 September 2021: International Organization of Securities Commissions’ consultation on ESG ratings and data products providers. … Continue Reading

Latest FCA Policy Development update

On 11 June 2021, the FCA published its latest Policy Development update setting out information on recent and upcoming FCA publications. In terms of future FCA publications the Policy Development update notes the following: Policy Statement on the regulation of funeral plans – expected July 2021. Consultation Paper on resolution and FSCS protection rules for … Continue Reading

What’s coming up in June?

Introduction Here is a short summary of some of the key regulatory milestones in June. International regulatory bodies Closing date 30 June 2021: IOSCO issues industry surveys on conduct risks in leveraged loans and collateralized loan obligations EU legislation and guidelines entering into force 26 June 2021: EU Investment Firm Prudential Regime comes into force. … Continue Reading

Horizon scanning – financial regulators publish third edition of regulatory initiatives grid

On 7 May 2021, the Financial Services Regulatory Initiatives Forum (Forum) published the third edition of the regulatory initiatives grid. The grid sets out at a high level future initiatives from the Forum so that the financial services industry can plan for initiatives that may have a significant operational impact on them. The Forum comprises … Continue Reading

Latest FCA policy development update

On 9 April 2021, the FCA published its latest policy development update. The policy development update lists recently issued FCA publications and lists two forthcoming FCA publications: Consultation paper on exit fees in investment platforms and comparable firms (expected 2021). Consultation paper on FCA regulated fees and levies: rates proposals 2021/22 (expected April 2021).… Continue Reading

Horizon scanning – UK regulators update Financial Services Regulatory Initiatives Grid

On 18 September 2020, the UK regulatory authorities (HM Treasury, Bank of England, PRA, FCA, Payment Systems Regulator, Competition and Markets Authority, the Pensions Regulator and the Information Commissioners Office) published an updated version of the Financial Services Regulatory Initiatives Grid. This edition of the Grid contains 111 initiatives, an increase on the 85 that … Continue Reading

Webinar: What’s on the horizon for financial services firms?

Client money The COVID-19 pandemic is having a severe impact on many business sectors, and financial institutions are no exception. Many firms are likely to encounter challenges of one form or another in the coming months, as countries emerge from lockdown and seek to resume normal business at different times, and the applicable legal and … Continue Reading
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