Quarterly Consultation CP15/28
FCA consults on proposed Handbook amendments.
Improving Conduct
Aimed at the wholesale market, Tracey McDermott’s speech gives clues to the questions all firms should expect to be asked in the context of conduct risk
FCA Fees and Levies 2015-16
Final fees published; PGS levy introduced
Private Equity – Limited Partnership Reforms
HM Treasury issues consultation on changes to the Limited Partnership Act 1907
Professional Clients and the Financial Ombudsman Service
Changes are being made to the Disputes Resolution Sourcebook: Complaints Sourcebook (DISP) of the FCA Handbook.
FCA Website
FCA pilots new “task based” section of website
Hedge Fund Survey
FCA publishes latest Hedge Fund Survey
Restrictions on Retail Distribution
FCA to add new section to COBS 22 relating to retail distribution
FCA Fees and Levies 2015 to 2016
FCA Regulated Fees and Levies Rate Proposals 2015 to 2016 published
Allocation, Allocation, Allocation
Aviva Investors Global Services Ltd has been fined £17,607,000 for what the Final Notice describes as systems and controls failings