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Showing 91 - 100 of 17121 matches filtered by 'news item'

  • The Pensions Regulator: Master trust market post authorisation

    06/11/2019
    TPR has published an update on the master trust market.
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  • Complaints Commissioner/FCA: FCA00619

    06/11/2019
    The complainant had asked FCA for information on the calculation of an annuity in order to satisfy himself that he had... an appropriate response to a complaint to the firm (Firm A) that had sold him the annuity and raised concerns relating to an alleged conflict of interest concerning FCA’s appointment of a Skilled Person to review Firm A’s historic annuity sales and carry out the calculation. The Commissioner upheld the complaint and recommended that FCA reviews its processes to ensure that it has clear recording of conflict checks being pursued.
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  • ECB: Speech by Luis de Guindos

    06/11/2019
    Text of Luis de Guindos’ speech of 6 November 2019 follows, in which he discusses countercyclical macroprudential policy and micro- and... macroprudential interaction and coordination.
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  • HMT: Recommendations for FPC: 2017 to 2019 Parliament

    06/11/2019
    HMT has published a letter from Javid Sajid to Mark Carney. The letter notes that the Bank of England Act... 1998 requires HMT, at least once in each Parliament, to make recommendations to FPC as relevant to FPC’s understanding of BoE’s financial stability objective and FPC’s responsibility in relation to the achievement of that objective. The last letter was sent in October 2018 and thus this letter fulfils HMT’s statutory requirements.
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  • FMLC: Issues of legal uncertainty arising in the context of the withdrawal of the UK from the EU – the provision and application of third country regimes in EU legislation

    06/11/2019
    FMLC has now published an addendum to its July 2017 report, which provides updates in relation to industry sectors.
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  • HMT/FCA: Appointments

    06/11/2019
    HMT has announced the appointments of three NEDs to FCA’s board.
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  • FMLC: Securitisation Regulation

    06/11/2019
    FMLC has published the text of a letter it has sent to the EC with regard to Article 5(1)(e) of. Securitisation... Regulation which raises concerns that the words “where applicable” in this Article are a source of significant legal uncertainty as to whether Article 7 applies indirectly to non-EU transactions. FMLC calls on the EC to issue guidance on the approach to the due diligence assessments of transactions involving third country entities in order to promote legal certainty in this area.
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  • HMT: Recommendations for FCA: 2017 to 2019 Parliament

    06/11/2019
    HMT has published a letter from Javid Sajid to Andrew Bailey. The letter notes that the Bank of England Act... 1998 requires HMT, at least once in each Parliament, to make recommendations to FCA about aspects of the economic policy of the government to which the FCA should have regard when considering how to advance the objectives of FCA and when considering the application of the regulatory principles set out in FSMA. The last letter was sent in March 2017 and thus this letter fulfils HMT’s statutory requirements. HMT will issue a further letter of recommendations at the next appropriate opportunity under the next Parliament.
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  • Complaints Commissioner/FCA: FCA00609

    06/11/2019
    The complainant had raised concerns that the Financial Services Register contained incorrect information about two registered escrow firms. FCA did... not uphold the complaint, stating that the responsibility for providing updates about firms rests with the firms themselves, and that the it updated the Register when a firm provides information about a change which affects their status. The complaint was upheld. The Commissioner noted that FCA had scoped the complaint too narrowly, that no proper consideration was given as to whether the information on the Register about the two firms was correct at the time of the complaint being raised, and no explanation was given as to what FCA does if it receives information that the position of a firm has materially changed, whether from the firm itself or a third party source. It also transpired that one of the firms had been cloned, which had not come to the regulator’s attention. The Commissioner has set out recommendations with regard to the Register and FCA has acknowledged that it has plans to address the points made.
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  • HMT: The Prospectus Directive and Transparency Directive Equivalence (Variation) Directions 2019

    06/11/2019
    HMT has published these Directions, which come into effect on exit day.
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