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Find and participate in FCA consultations – this section lists our currently open consultations.

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Showing 291 to 300 of 303 search results.

  1. FSA - FG11/11: Guaranteed Variable Remuneration [pdf]

    Finalised guidance Published: 04/08/2011 Last modified: 20/10/2014
    Under SYSC 19A.3.40R, a firm must not award, pay or provide any guaranteed variable remuneration unless the award is exceptional, occurs in the context of hiring new staff and is limited to the first year of service.

  2. FSA - FG11/10 [pdf]

    Finalised guidance Published: 28/07/2011 Last modified: 20/10/2014
    The survey sought to analyse the derivative risk management practices in place across the investment management industry.

  3. FSA - FG11/11: The Remuneration Code - Code staff list for Tier 3 and 4 firms [xls]

    Finalised guidance Published: 18/07/2011 Last modified: 20/10/2014
    This table is intended as a tool for you to keep a record of all Remuneration Code Staff identified for the current performance year, as required by SYSC 19A.3.5.R (1). It is not compulsory and you may choose to record your Remuneration Code Staff

  4. FSA - FG11/11: The Remuneration Code - Code staff list for Tier 2 firms [xls]

    Finalised guidance Published: 11/07/2011 Last modified: 20/10/2014
    This table is intended as a tool for you to keep a record of all Remuneration Code Staff identified for the current performance year, as required by SYSC 19A.3.5.R (1).

  5. FSA - FG11/8 [pdf]

    Finalised guidance Published: 01/05/2011 Last modified: 20/10/2014
    The Individual Liquidity Systems Assessment (ILSA) only concerns simplified Individual Liquidity Adequacy Standards (ILAS) BIPRU firms.1 Any references to a ‘firm’ mean a simplified ILAS BIPRU firm.

  6. FSA - FG11/6 [pdf]

    Finalised guidance Published: 11/04/2011 Last modified: 20/10/2014
    We are writing to all general insurance firms with our concerns about how current market conditions are increasing the risks of inadequate reserving, and its potential effect on pricing, in the sector, and creating potential pressures within

  7. FSA - FG11/7 [pdf]

    Finalised guidance Published: 11/04/2011 Last modified: 20/10/2014
    During the course of the two rounds of our reverse stress-testing surgeries – which were held in April/May and September/October 2010 for firms that are subject to our requirements about reverse stress-testing – a large number of issues were

  8. FSA - FG11/5 [pdf]

    Finalised guidance Published: 18/03/2011 Last modified: 20/10/2014
    Assessing suitability: Establishing the risk a customer is willing and able to take and making a suitable investment selection

  9. FSA - FG11/4 [pdf]

    Finalised guidance Published: 01/03/2011 Last modified: 20/10/2014
    This letter summarises the key points we discussed during a series of seminars on governance, hosted by our Retail Firms Division (RFD) during October/November 2010. Please share this letter with your Board and consider the issues raised in it.

  10. FSA - FG11/3 [pdf]

    Finalised guidance Published: 18/01/2011 Last modified: 20/10/2014
    ALM is a key management function that spans the entire legal entity and group, as appropriate. The exact scope of ALM can vary – for example, oversight for non-traded market (interest) risk in the banking book might be the responsibility of a