Consultation opens
04/03/2022
Consultation closed
11/04/2022
11/04/2022
CP22/4: Quarterly Consultation Paper No. 35
Once a quarter, we consult on proposed miscellaneous amendments to our Handbook. These tend to be minor changes but we still want to get your feedback on our proposals.
CP22/4: Quarterly Consultation Paper No. 35 (PDF)
What we are consulting on this quarter
We are proposing:
- to make changes to chapters 2 and 13 of the Perimeter Guidance manual to clarify application of the MiFID II Ancillary Activities Test in the absence of overall market size data
- to amend the research and inducement rules for collective portfolio managers so they are subject to the same rules as investment managers
- to make changes to reflect amendments the Treasury has made to the UK MiFID delegated regulation in places where it is copied out in the Glossary and COBS
- to amend LR 14 to reflect the original policy position for investment entities other than OEICs prior to the amendments introduced in January 2021
- to make changes to the approach to continuing professional development for retail investment advisers and pension transfer specialists
- to extend the MIFIDPRU TP 7.4R(2)(b) notification deadline.
Who this applies to
This will be relevant if you or your firm has any interest in the subjects mentioned above.
Next steps
This consultation has now closed. We will publish feedback on responses in a Handbook Notice once we have reviewed your comments.
Further information
For more information please view the FCA Handbook.