Supervision

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New Financial Services Act 2012 product intervention powers now in force. The FCA published a thematic review in March 2015 and notes that as well as increased domestic scrutiny regarding product intervention and governance, strict new rules are to be introduced by forthcoming EU Directives.

Latest Reports

  • City, London

    The proposals in the UK Prime Minister’s speech on 17th January and the White Paper on 2nd February will require a new construct for cross-border regulatory coordination between the EU and the UK, which will operate in a complex legal and regulatory environment (outside the EU/EEA single market). CMS and ...

  • Zurich, Switzerland

    Overview On 16 February 2018, the Swiss Financial Market Supervisory Authority FINMA has published guidelines (Guidelines) for enquiries regarding the regulatory framework for initial coin offerings (ICOs)[1]. The Guidelines complement the earlier FINMA Guidance 04/2017 of 29 September 2017 which highlighted areas in which ICOs may be covered by existing ...

  • Frankfurt, Germany
    DE

    Background On 12 December 2017, the German Federal Financial Supervisory Authority ("BaFin") published the long-awaited new capital investment circular on the interpretation of the German Investment Regulation (Anlageverordnung, "AnIV") and the German Pension Fund Supervision Regulation (Pensionsfonds-Aufsichtsverordnung, "PFAV"): Circular 11/2017 (VA), Guidance notes on the investment of guarantee assets of ...

  • The FCA published a paper[1] outlining its approach to regulating for retail consumers. This follows on from the publication of Our Mission[2] in April 2017. This new paper will be the first in a series that outlines the FCA’s approach[3] to regulation in more depth. The FCA's approach was shaped ...

  • The FCA has published the findings from the regulatory sandbox’s first year in operation. Background The FCA’s regulatory sandbox (sandbox) allows firms to test new products, services and business models in a live market environment whilst maintaining appropriate consumer safeguards. The sandbox was established to support the FCA’s objectives of ...

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Agency Database

Future Dates

* Estimated date

  • 31 December 2019

    Following PRA's policy statement (PS10/17) - operational continuity firms are expected to submit the template (PRA109) 45 business days after the first reporting period ending 31 December.