regulation keypoints
- Regulators produce new product rules, conduct of business requirements and tax changes on a regular basis.
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These rule changes are not always part of an act or review.
- Details of these rule changes can be found in this section of the Regulation Tracker.
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Published by Emma Ann Hughes , Mar 27, 2012
Streamlining claims handling procedures
Ways to streamline the Financial Services Compensation Scheme’s claims handling procedures are outlined in a 58-page consultation paper.
Proposed: consultation paper deadline for .
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Published by Emma Ann Hughes , Mar 26, 2012
Returning bankrupt client assets
Investment firms have been ordered to more speedily return client assets when a business fails.
Final ruling: consultation paper deadline for 01 Oct 2012.
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Published by Emma Ann Hughes , Mar 16, 2012
Clarifying annual pension allowances
HM Revenue & Customs (HMRC) has clarified what the annual pension allowance is in certain circumstances.
Final ruling: consultation paper deadline for 16 Mar 2012.
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Published by Emma Ann Hughes , Mar 16, 2012
New forms of collective investments
The FSA plans to authorise another two legal forms of collective investment scheme.
Proposed: consultation paper deadline for .
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Published by Emma Ann Hughes , Mar 16, 2012
Responsibility for Distributor influenced funds
Advisers using Distributor influenced funds have been told they should not simply increase complexity and costs without providing new services and...
Final ruling: consultation paper deadline for 27 Feb 2012.
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Published by Emma Ann Hughes , Mar 12, 2012
Tighter with profits rules
The FSA has explained what it expects of with profits providers and admitted more work needs to be done to come up with rules for mutual insurers.
Final ruling: consultation paper deadline for 09 Mar 2012.
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Published by Emma Ann Hughes , Mar 06, 2012
Shake-up of tax reliefs
Tax reliefs to be abolished, simplified and retained have been outlined by the Office of Tax Simplification.
Final ruling: consultation paper deadline for 03 Mar 2012.
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Published by Emma Ann Hughes , Feb 28, 2012
Pension transfer value calculations
Proposals to change the way pension transfer analysis is carried out have been published by the FSA.
Proposed: consultation paper deadline for .
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Published by Emma Ann Hughes , Jan 30, 2012
Exchange traded funds rules
European guidelines on Ucits ETFs, index-tracking Ucits, efficient portfolio management techniques, total return swaps and strategy indices for...
Proposed: consultation paper deadline for .
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Published by Emma Ann Hughes , Jan 26, 2012
Updated listing rules for offshore advisory firms
Changes to the listing rules, which set out the requirements for companies listed in the UK, have been proposed in a 173-page FSA consultation paper.
Proposed: consultation paper deadline for .
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Hal AustinonInvestments| Mar 08, 2012Should regulators really be worried about ETFs?
Lyxor’s Alain Dubois has said “there is absolutely nothing to worry about” with ETFs; only time will tell if he has spoken too soon
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From Investments| Oct 12, 2011HMRC reveals how adviser charging affects Isas
Revenue reveals that re-invested cash rebates that arise from the new adviser charging rules could count towards subscription limit.