Supervision
The oversight of firms and individuals to reduce actual and/or potential harm to consumers and markets.
Visit the Supervision dedicated microsite on this topicPIMFA FEEDBACK ON THE FCA 2023 WEALTH DATA SURVEY
Discover PIMFA's insights on the FCA 2023 Wealth Data Survey
PIMFA Response to FCA CP24/2: Our Enforcement Guide and publicising enforcement investigations – a new approach
PIMFA Work Planner 2024
Discover our Work Planner, a quarterly updated tool that aligns PIMFA team priorities with membership needs
Bank of England: Financial Stability in Focus
Download here the Bank of England's Financial Policy Committee (FPC) March 2024 paper Financial Stability in Focus: The FPC’s macroprudential approach to operational resilience, setting out the FPC’s view on specific topics related to financial stability and complementing the Financial Stability Report
BOE & FCA Response to phase two industry recommendations
Read here the Bank of England (BoE) and Financial Conduct Authority (FCA) joint response to phase two industry recommendations and future strategy on Data Collection, building on industry responses to the Joint Transformation Programme (JTP) and containing five outcomes to ensure regulators get the data they need at the lowest cost
PIMFA Response to FCA CP23/24: Capital Deduction for Redress
DP23/5 Advice Guidance Boundary Review – proposals for closing the advice gap
PIMFA Response to FCA CP23/26: Implementing the Overseas Funds Regime
01.09.17-Regulation-FCA FG17-06 On The Treatment Of Politically Exposed Persons-Update-September-2017
Discover the FCA Finalised Guidance FG 17/6 on the treatment of politically exposed persons for anti-money laundering. Includes legislative background and summaries
PIMFA Response to HM Treasury; Ban on Cold Calling for Consumer Financial Services and Products – Consultation and Call for Evidence
PIMFA Response to FCA’s Rules Review Framework
PIMFA response to Financial Services Regulation – Measuring Success – Call for Proposals
PIMFA Response to FCA DP23/2: Updating and improving the UK regime for asset management
DP 23 Overview – Updating and improving the UK regime for asset management (title needs updating)
Discover the PIMFA Overview of FCA DP 23/2, detailing upcoming regulatory changes for fund managers and platforms amid the Financial Services and Markets Bill
Implementation of MIFID in EU Member States
Discover the PIMFA Guide to MIFID implementation in EU Member States. Tailored for third-country firms, including post-Brexit UK, to navigate client needs effectively