Regulation of financial institutions other than banks
in The UK financial system (fifth edition)
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The rules concerning the regulation of non-bank financial institutions have mainly originated from the European Union. This chapter discusses the main features of the regulations. It looks at regulation of life insurance companies and pension funds. This is followed by a discussion of the regulation of investment funds in and of market infrastructure. The European Market Infrastructure Regulation came into force in August 2012 and covers over-the-counter derivatives, central counter-parties and trade repositories. The regulation requires anyone who has entered into a derivatives contract to report and risk manage their derivative positions. The chapter also looks at the EU's Market in Financial Instruments Directive, which, in the area of protection, categorises clients into three groups: eligible counter-parties, professional clients and retail clients.


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