XP 49 Financial Industry Consultants

24th September 2021 – UK HM Treasury Wholesale Markets Review – AFME Response

2021-10-11T14:51:26+00:00

AFME provided a response to the HMT consultation on the Wholesale Markets Review, providing feedback to the UK proposals on Trading Venues, SIs or Systematic Internalisers, Equity Markets - Fixed Income - Derivatives Markets - Commodity Market, Reporting... Access the AFME response here - https://www.afme.eu/news/press-releases/details/AFME-responds-to-UK-Treasury-Wholesale-Markets-Review

24th September 2021 – UK HM Treasury Wholesale Markets Review – AFME Response2021-10-11T14:51:26+00:00

10th September 2021 – FCA Dear CEO Letter – Regulatory Reporting Reliability

2021-10-11T14:50:02+00:00

The UK FCA expressed some dissatisfaction with regards to the accuracy and reliability of regulatory reporting. The FCA lists a number of shortcomings and "material findings", covering areas such as governance and ownership, controls, data and investment in the processes. This ties up with the presentation we made at a conference held on September 15th [...]

10th September 2021 – FCA Dear CEO Letter – Regulatory Reporting Reliability2021-10-11T14:50:02+00:00

30th September 2021 – FCA CP21/23 – PRIIPs Consultation Deadline on Proposed Scope Rules and Amendments to RTS

2021-09-12T15:36:34+00:00

30/09/2021 Consultation proposing amendments (via RTS - Regulatory Technical Standards) to address the lack of clarity on the PRIIPs scope, misleading performance scenarios and summary risk indicators, and address concerns with elements of the transaction costs calculation methodology. See the FCA consultation document here - https://www.fca.org.uk/publication/consultation/cp21-23.pdf  

30th September 2021 – FCA CP21/23 – PRIIPs Consultation Deadline on Proposed Scope Rules and Amendments to RTS2021-09-12T15:36:34+00:00

24th September 2021 – UK Wholesale Markets Review Consultation Deadline

2021-09-12T15:33:22+00:00

24/09/2021 “This consultation is part of the Chancellor’s broader vision to enhance the competitiveness of UK capital markets, while maintaining high regulatory standards”. See the official text of the UK Government consultation here - https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/998165/WMR_condoc_FINAL_OFFICIAL_SENSITIVE_.pdf  

24th September 2021 – UK Wholesale Markets Review Consultation Deadline2021-09-12T15:33:22+00:00

14th September 2021 – FCA CP21/21 – Primary Markets Effectiveness Review Consultation Deadline

2021-09-12T16:52:46+00:00

14/09/2021 Deadline for feedback on the FCA consultation, which follows on from the UK Listing Review and discusses the functioning of the listing regime and changes to remove barriers to listing. See the FCA consultation document here - https://www.fca.org.uk/publication/consultation/cp21-21.pdf  

14th September 2021 – FCA CP21/21 – Primary Markets Effectiveness Review Consultation Deadline2021-09-12T16:52:46+00:00

10th September 2021 – FCA CP21/17 and CP21/18– Climate-Related Disclosures End of Consultation Period

2021-09-12T15:26:20+00:00

10/09/2021 The following two documents were published by the FCA in June 2021, opening a consultation period of three months which closed on September, 10th. CP21/17 - Enhancing climate-related disclosures by asset managers, life insurers and FCA-regulated pension providers CP21/18 – Enhancing climate-related disclosures by standard listed companies and seeking views on ESG topics in [...]

10th September 2021 – FCA CP21/17 and CP21/18– Climate-Related Disclosures End of Consultation Period2021-09-12T15:26:20+00:00

9th September 2021 – FCA Dear CEO Letter – Trade Finance Activity

2021-09-13T17:47:48+00:00

09/09/2021 The FCA took action to contact all the firms (banks mainly) involved in the Trade Finance business, in order to remind them of their duties to perform thorough risks analysis in two domains: credit risk and financial crime controls. This comes on the back of high-profile failures of commodity and trade finance firms, which [...]

9th September 2021 – FCA Dear CEO Letter – Trade Finance Activity2021-09-13T17:47:48+00:00

17th August 2021 – UK BEIS Hydrogen Strategy

2021-09-12T11:16:10+00:00

17/08/2021 The UK BEIS (Department for Business, Energy & Industrial Strategy) has been publishing a raft of papers and studies lately, the latter one being its Hydrogen strategy. Hydrogen is an area in which the UK government wants to be a world leader We also refer the reader to the UK CCC (Climate Change Committee) [...]

17th August 2021 – UK BEIS Hydrogen Strategy2021-09-12T11:16:10+00:00

26th July to 6th August 2021 – UK FCA Proposes Regulatory Changes following Brexit

2021-09-12T10:57:47+00:00

Proposed rules (and consultations on the changes) to introduce the Investment Firm Prudential Regime (IFPR). IFPR is the new prudential regime for UK firms authorised under the Markets in Financial Instruments Directive (MiFID). FCA also introduced proposed changes to PRIIPS. See the IFPR Policy Statement - https://www.fca.org.uk/publication/policy/ps21-9.pdf See the publication of the Consultation Paper on [...]

26th July to 6th August 2021 – UK FCA Proposes Regulatory Changes following Brexit2021-09-12T10:57:47+00:00
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