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ESMA issues report on peer review of MiFID compliance function guidelines

The results show that there is a high level of compliance with the guidelines among national competent authorities, but weaknesses were identified in the supervisory approaches of several countries


What are the implications of DLT on the insurance sector?

Distributed ledger technology has been hailed as having the potential to revolutionise the insurance industry, so which areas are most likely to be affected?

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FCA to act "proportionately" with firms unprepared for MiFD II

The UK financial regulator does not intend to take action against firms that are not fully compliant when MiFID II  comes into force if they have taken sufficient steps to meet new obligations.

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FCA publishes Policy Statement on Regulatory reporting - retirement income data

The FCA has published a policy statement, PS17/16, which sets out its response to the feedback received to its November 2016 consultation paper, CP16/36, on regulatory reporting: retirement income data. It also sets out the FCA's final rules introducing two new data items on retirement income. The rules and guidance will come into effect on 30 September 2018.

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FCA publishes Client Assets Policy Statement on special administration regime review

The Financial Conduct Authority (FCA) published a policy statement, PS17/18, which summarises the feedback it received to its January 2017 consultation paper, CP17/2, on aspects of the client assets regime, in particular regarding the client money distribution rules and their interaction with the special administration regime (SAR).

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Consumers and competition: FSCP position paper

In 2016, the Financial Services Consumer Panel (FSCP) commissioned an evidence review and consumer survey to inform and stimulate debate about consumers' role in driving competition in retail financial services markets. The FSCP has published a report on the review.

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Lending Standards Board to oversee the Access to Banking Standard

UK Finance announced that the independent Lending Standards Board (LSB) has been selected to supervise the new Access to Banking Standard.

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The use of league tables during pitch presentations: UK Finance/AFME guidance

UK Finance and the Association of Financial Markets in Europe have published guidance with the aim of assisting clients in understanding the sources and methodology used by firms when preparing league tables for inclusion in pitch presentations.