Current CBU remit

Our responsibilities include:

• Making supervisory judgements for businesses that fall within the CBU jurisdiction
• Delivering a forward-looking judgement based approach to supervision;
• Supporting the delivery of the supervisory regime through effective risk prioritisation, identification and mitigation;
• Identifying risks, and developing processes to prioritise and mitigate them
• Effective Processing firm applications, as well as notifications and regulatory returns
• The Customer Contact Centre and Consumer Helpline

• Recognising and supervising exchanges, clearing houses and other market infrastructure providers
• Market abuse, insider dealing detection and transaction monitoring
• The UK Listing Authority function
• Developing and maintaining the policy framework, including markets policy and the rules and guidance surrounding firms’ conduct towards their customers
• Client assets risk identification, supervision and policy
• Building more effective consumer engagement and insight in order to deliver more effective regulation