Regulatory AlertsCP23/14: Quarterly Consultation Paper No. 40
The Financial Conduct Authority proposes clarifications to the Investment Firms Prudential Regime (MIFIDPRU) and Supervision manual (SUP) to correct errors and improve guidance on capital requirements, liquid assets, and group internal capital adequacy processes. The regulator also seeks to introduce a post-trade transparency deferral for exchange traded fund transactions priced at net asset value, allowing publication until the NAV is available to reduce reporting burdens. Additionally, the document clarifies the scope of the ban on offering incentives to retail clients for investing in high-risk investments.
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