FCA: Enhanced Supervision
The FCA publishes policy statement on how it will address serious failings of standards, governance and culture in firms; ‘Tackling serious failings in firms’.
CASS: Overhaul of Regime
CASS Policy Statement ‘Review of the client assets regime for investment business’ (PS14/9) is published, with relevant firms facing changes to rules and guidance to be phased-in in three tranches.
Wholesale Markets Review
The government announces a review into wholesale markets and how they operate; a joint FCA/Bank of England/HM Treasury exercise.
FCA Business Plan 2014/15
At a year old, the FCA publishes its second Business Plan which provides an insight into the areas it will concentrate on over the next year
FSCS Levy
Final levy published for 2014/2015 at a lower level than forecast
FCA Regulated Fees and Levies
Details of proposed fees published in CP14/6
FCA Risk Outlook 2014
FCA identifies potential issues which it will monitor and intervene over
Supervision of C4 Firms
The FCA has now published a summary of its approach to the supervision of C4 firms
Hedge Fund Survey
Latest survey released by FCA
FSCS (and FOS) Exemption
A reminder to submit exemption forms