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UK Legislation

FCA 

Topic

Consultation/Policy Statement

Status

 Consultation/Discussion papers

Secondary trading of financial
instruments

Consultation paper I (CP15/43) published 15 December 2015

 

 

 

Consultation closed 8 March 2016

Conduct of business and
organisational requirements

Discussion paper DP15/3 published 26 March 2015

 

Consultation closed 26 May 2015

Handbook Changes (including
SYSC, EG, DEPP, COMM,

SUP and CASS)

 

Consultation paper II (CP16/19) published 29 July 2016

 

Consultation closed 28 October 2016

Conduct of business,
inducements and research

Consultation paper III (CP16/29) published 29 September 2016

Consultation closed on 31 October 2016 for Chapter 16 and on 4 January 2017 for remaining chapters. The FCA are expected to publish a policy statement in Q2 2017.

Handbook Changes
(including specialist regimes,

SME growth markets,
market data and fees)

Consultation paper IV (CP16/43) published 16 December 2016 Consultation closed 17 February 2017 (except for the chapter relating to FEES which closed January 2017).

Changes to conduct rules
for Occupational Pension

Scheme firms

Consultation paper V (CP17/8) published 31 March 2017

Consultation closed 23 June 2017 for chapter 2 and 12 May 2017 for chapters 3 and 4.

 Handbook changes Consultation paper VI (CP17/19) published 3 July 2017 Consultation closed September 2017. The rules were published in Handbook Notice No. 50 published in December 2017.

Policy Statements

MIFID II implementation –
reporting on CP15/43

and CP16/19 and
some issues from CP16/29

and CP16/43

Policy Statement I (PS17/5) published 31 March 2017

A second policy statement is expected to be published at the end of June 2017

MIFID II implementation –
reporting on conduct

of business and

client assets

Policy Statement II (PS17/14) published 3 July 2017

Final rules
 Other    
Q&As containing information
on position limits and
position reporting for
commodity derivatives
FCA Q&As on MiFID II commodity derivatives published 9 August 2017  Published
Algorithmic Trading Compliance in Wholesale Markets FCA Report published 12 February 2018  Published
  

 
PRA 

Topic

Consultation/Policy Statement

Status

Passporting and algorithmic trading

PRA Consultation Paper (CP9/16) Implementation of MiFID II: Part 1 published 24 March 2016


PRA Policy Statement (PS 29/16) - MiFID II: Response to CP9/16
published 27 October 2016

 

Appendices:

 

1. Passporting instrument 2016

 

2. Algorithmic trading instrument 2016


Consultation closed 27 May 2016

Covering MiFID II management
body
requirements and key
organisational
requirements
which will apply to MiFID

and non-MiFID business.

PRA Consultation Paper (CP43/16) Implementation of MiFID II: Part 2 published on 25 November 2016

 

PRA Policy Statement (PS9/17) Implementation of MiFID II: Part 2 published 29 April 2017

 

Appendices:

 

1. Internal governance instrument 2017

 

2. Notifications instrument 2017

 

3. Glossary instrument 2017

 

4. General provisions instrument 2017

 

5. Internal Governance update - SS21/15

 

6. Third country equivalence aspects of the credit risk provisions in the CRR and recognised exchanges update - SS20/13

 

7. Credit risk mitigation update - SS17/13

Consultation closed 27 February 2017

Algorithmic trading PRA consultation paper (CP5/18) published 12 February 2018 Consultation closed 7 May 2018
    
      
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