Transcription of Review of the client assets regime for investment …
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Review of the client assets regime for investment …
FCA consultation paper 13/5 Review of the client assets regime for investment business July 2013 Extended Assurance Assurance beyond financial statements1 Review of the client assets regime for investment business Overview and time lineThis paper advises on material changes to the rules to client money, custody assets and mandates. Individually, each proposal is intended to address a particular risk identified in firms or clarify an existing requirement, to enhance the client assets regime to achieve better results for consumers and increase confidence in financial received by 12 Aug 2013 for European Market Infrastructure Regulation (EMIR) proposalsFinal rules published on EMIR Regulatory Technical Standards(RTS)Comments received by 11 Oct 2013 for other proposalsFinal rules published in December 2013 on all other proposalsRules come in effect first half of 2014CP 13/5 published2013 JulAugSepOctNovDecJanFebMarAprMayJun2014 Consultation closes (EMIR)Consultation closesFinal rules published (EMIR)
Review of the client assets regime for investment business 1 Overview and time line This paper advises on material changes to the rules to …
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