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  • FCA: CP22/2: Strengthening our financial promotion rules for high risk investments, including cryptoassets

    19/01/2022
    In this CP, FCA has set out proposals to ensure that firms that approve and communicate financial marketing have relevant expertise... and understanding of the investments being offered, improve risk warnings on ads and ban incentives to invest, for example new joiner or refer-a-friend bonuses. Those looking to make certain high-risk investments would also be asked more robust questions about their knowledge and investment experience, after research (published by FCA – see second link below) found many consumers were investing without being aware of the risks. FCA’s draft rules include proposed restrictions on the marketing of cryptoassets, in preparation for the Government bringing the promotion of these high-risk investments under FCA’s remit. When it does, FCA plans to categorise qualifying cryptoassets as “Restricted Mass Market Investments”, meaning consumers would only be able to respond to cryptoasset financial promotions if they are classed as restricted, high net worth or sophisticated investors. Firms issuing such promotions would have to adhere to FCA rules. Responses are required by 23 March 2022. FCA anticipates confirming its final rules in summer 2022. 
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  • FCA: FG15/8: FCA's powers and procedures under the Competition Act 1998

    19/01/2022
    FCA has published this revised guidance which, amongst other matters, includes a section clarifying the regulator’s competition powers following Brexit; clarifies... FCA’s competition law jurisdiction with regard to claims management services and makes procedural changes that reflect changes adopted by CMA.
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  • The Companies (Strategic Report) (Climate-related Financial Disclosure) Regulations 2022/31

    19/01/2022
    The SI makes changes to reporting requirements by certain companies to produce additional disclosures in line with TCFD recommendations. (Date in... force: 6 April 2022)
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  • RFPT Review: Interim statement

    19/01/2022
    A update on the findings of the Ring-fencing and Proprietary Trading Independent Review has been published ahead of the final report... and recommendations. Topics include: financial stability; competition and prop trading.
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  • ESRB: Will video kill the radio star? Digitalisation and the future of banking

    18/01/2022
    ESRB’s report looks at how digitalisation could change the way that financial and banking services are provided in the future, including... the potential emergence of new risks. The report sets out three hypothetical scenarios for the EU financial system in 2030 and discusses the appropriate macroprudential policy response.
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  • IOSCO: Lessons learned from the use of global supervisory colleges

    18/01/2022
    IOSCO’s report provides a framework for securities regulators seeking to create new global supervisory colleges for sectors of financial markets where... they are not currently used in order to strengthen cooperation between regulatory authorities.
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  • ESMA: Report to the EC on the application of accepted market practices

    18/01/2022
    ESMA has published its annual report on the application of accepted market practices in accordance with MAR, noting that the number... of liquidity contracts and the volumes traded under the practices has decreased for the four national competent authorities that have them in place (CNMV, CMVM, CONSOB and AMF).
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