Collection

2018 Financial Conduct Authority RPC Opinions

This is a list of all the opinions the RPC issued in 2018 on Financial Conduct Authority measures.

• From: Regulatory Policy Committee
• Published: 21 February 2019

Financial Conduct Authority

Advising on pension transfers (CP17/16 and PS18/6) 1/2

Amendments to certain disclosure requirements which apply to non-MiFID business so that they are consistent with the provisions applying to MiFID business

Client money and unbreakable deposits

Extending MiFID II requirements for firms to record telephone conversations or electronic communications

Extending new MiFID II investment research provision to non-MiFID firms

Extending selected MiFID II provisions to Occupational Pension Scheme (OPS) firms

Extending the MiFID II best execution requirements to Article 3 retail financial advisers and UCITS management companies

Extension of certain MiFID II independence provisions to firms providing personal recommendations to retail clients on non-MiFID business/products so that they are consistent with the provisions applying to MiFID business

Extension of certain MiFID II inducement provisions to firms providing investment advice and portfolio management to retail clients

Extension of MiFID II product governance provisions to non-MiFID firms

Extension of the MiFID II research and inducements provisions to collective portfolio managers

Markets in Financial Instruments Directive II Implementation – Client Categorisation

PS18/15: Extending the Senior Managers & Certification Regime to insurers

Rules applicable to firms who are within the scope of the Insurance Distribution Directive (IDD)

Staff Incentives, Remuneration and Performance Management in Consumer Credit Firms (Rules and Guidance)

The revised payment services directive (PSD2)

Transaction cost disclosure in workplace pensions

Published 21 February 2019