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Showing 771 to 780 of 2126 search results for occasional papers.
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FSA - PS11/11 [pdf]
Policy FSA - PS11/11 - This Policy Statement reports on the main issues arising from Consultation Paper 11/6 (Use of non-EEA rules in calculating group capital requirements) and publishes final rules. -
FS16/10: Smarter Consumer Communications [pdf]
This Feedback Statement reports on the themes arising from the responses to our Discussion Paper on Smarter Consumer Communications and sets out our planned work. -
CP16/41: Amendments to Notes for completion of the MLAR [pdf]
We are consulting on proposals to update the notes for completion of the MLAR and to make a minor change to our second charge mortgage reporting form (MLA-D1). -
CP17/5: Reforming the availability of information in the UK equity IPO process [pdf]
We are consulting on a package of policy proposals intended to improve the range and quality of information that is available to investors during the UK equity IPO process. -
PS17/2: Changes to DTR 2.5: delay in the disclosure of inside information [pdf]
In this Policy Statement we report on the main issues arising from Consultation Paper 16/38 (DTR 2.5 changes: delay in the disclosure of inside information) and publish the final rules. -
FSA - GC11/25 [pdf]
This paper recommends that this boundary is raised from £50m capital resources to £100m for banks and building societies, aligning it with the corresponding boundary for BIPRU 730K firms (that is a full scope BIPRU investment firm). -
FSA - GC11/23 [pdf]
This paper sets out our view about payment for order flow (PFOF) arrangements. We define PFOF as an arrangement whereby a broker receives payment from market makers, in exchange for sending order flow to them. -
FSA - PS11/10 [pdf]
Policy FSA - PS11/10 - This Policy Statement reports on the main issues arising from the joint HM Treasury/FSA paper (Transposition of UCITS IV: consultation document) of December 2010 and publishes final rules. -
CP16/25: Whistleblowing in UK branches of overseas banks [pdf]
We are consulting on our proposed approach to apply new whistleblowing requirements to UK branches of overseas banks. It does not apply to UK branches of overseas insurers. -
CP16/24: Review of the FCA’s appropriate qualification exam standards [pdf]
The purpose of this consultation is to update our existing appropriate exam standards for appropriate qualifications listed in the FCA Training and Competence sourcebook.