Financial Conduct Authority (FCA)

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FCA: PS14/9 (with final rules) published - relates to all firms that are subject to CASS because they conduct investment business and hold client money, custody assets, collateral and or mandates in relation to that investment business. This includes loan-based crowdfunding firms who became subject to client money rules in CASS 7 by the changes published in PS14/4. CASS rules changes following PS14/9 came into force in three phases: 1 July 2014, 1 December 2014 and 1 June 2015. Firms could choose to begin complying with any of the requirements introduced by PS14/9 before the relevant requirement came into force. FCA Business Plan 2016/17 notes client assets is part of ongoing work. Moreover, in March 2016, HM Treasury and the FCA have lauched consultations relating to the Bloxham report and SAR.

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Jargon Buster

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Future Dates

* Estimated date

  • 10 January 2020

    From this date, businesses must comply with the MLRs 2017 in relation to cryptoasset activities and the FCA will have powers to supervise and enforce under the MLRs. The FCA gateway will open on this date for businesses to submit applications for entry to the register.

  • 30 January 2020

    Last day for firms to notify the FCA that they wish to enter into the temporary permission regime. 

  • 31 January 2020

    The FCA addendum to the Memorandum of Understanding entered into with the Hong Kong Securities and Futures Commission will come into force on exit day.