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’s response to FCA CP22-19: Creation of a baseline financial resilience regulatory return
DP22/2: Primary Markets Effectiveness Review: Feedback to the discussion of the purpose of the listing regime and further discussion’
PIMFA response to consumer redress scheme for unsuitable advice to transfer out of the British Steel Pension Scheme
Why PIMFA – Join Now Page
Why PIMFA - Join Now Page
PIMFA’s response to FCA Quarterly Consultation No 35 – CP 22/4
PIMFA’s response to the FCA Compensation Framework Review
PIMFA’s response to FCA’s Call for Evidence on Improving the Appointed Representatives Regime
PIMFA response to A New Consumer Duty – Feedback to CP21/3 and further consultation
PIMFA’s response to HM Treasury’s consultation on Amendments to the Money Laundering Regulations 2017
PIMFA’s response to FCA Consultation CP 21/28: New cancellation and variation power; Changes to the Handbook and Enforcement Guide
PIMFA’s Response to HM Treasury Consultation on the Wholesale Markets Review
PIMFA’s response to the joint FCA, PRA and the Bank of England; DP 21/2 Diversity and Inclusion in the Financial Sector – Working Together to Drive Change
PIMFA consultation response on restricting CMC charges for financial products and services claims
PIMFA’s response to FCA; Quarterly Consultation CP 21/5
This Regulatory Forum will provide updates on regulatory hot topics from the PIMFA team and select associates, provide an opportunity...