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  • BoE/PRA: The Bank of England’s amendments to financial services legislation under the European Union (Withdrawal) Act 2018

    18/04/2019
    This joint policy statement sets out the policy to deliver the general approach being taken to ensure there is a functioning... legal framework when the UK leaves the EU. It is noted that the authorities have not changed the policy or significantly altered the text of the published materials since their publication as near-final. Final versions of transitional directions and transitional guidance materials published as near-final in Section A of the February 2019 version of PS5/19 have not been included and the authorities are considering whether to make any changes to these in the light of the Brexit extension.
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  • PRA: Written auditor reporting

    18/04/2019
    PRA's letter has been sent to CFOs of selected deposit-takers and auditors. It provides formal feedback on the PRA's work... in this area.
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  • BaFiN: New agreement for supervisory cooperation after Brexit

    18/04/2019
    The German Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht, “BaFin”) has concluded an agreement with the UK PRA for supervisory cooperation... after Brexit on 15 April 2019 and has published today the following statement on its website.
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  • BoE: Have FSRs got news for you?

    18/04/2019
    This BoE staff working paper considers the impact that the publication of BoE's Financial Stability Report has on the stock returns... and credit default swap spreads of UK financial institutions.
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  • EC: Security Union/Consumer protection

    18/04/2019
    The EC has reported that the European Parliament has formally adopted stronger rules on cross-border access to financial information by law... enforcement authorities during criminal investigations as well as rules in relation to the "New Deal for Consumers".
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  • EC: Capital Markets Union

    18/04/2019
    In this press release, the EC welcomes the European Parliament's final votes on legislation putting in place the building blocks of... the CMU.
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  • FCA: Innovation functions cooperation agreement

    18/04/2019
    FCA has published the text of a MoU with a number of Canadian authorities in relation to Project Innovate in the... UK and the CSA Regulatory Sandbox in Canada.
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  • FCA: Complaints data

    18/04/2019
    FCA has published complaints figures for regulated firms for H2 2018, noting that complaints decreased by 5%. This is the first... time the number of complaints has fallen since firms were required to change the way they report complaints.
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  • FCA: "Dear CEO" letter – Wholesale broking firms

    18/04/2019
    FCA's letter sets out its view of the key harms that brokerage firms operating in wholesale financial markets pose to their... clients and markets and FCA's planned supervisory work in specific areas for wholesale broking firms. These include compensation and incentives; governance and culture; capacity and conflicts of interest; market abuse and financial crime controls; cybercrime and Brexit. The letter also criticises brokers for failing to keep pace with, and underestimating the requirements of legislation such as MiFID 2 and MAR.
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  • FCA: Market Watch 59

    17/04/2019
    Topics include: FCA's observations on transaction reporting; telephone recording and retention and the use of LEI codes. FCA reminds firms... of their obligations with regard to the first two items, and expresses concern over the use of "short form" codes by firms.
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