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Showing 791 to 800 of 2126 search results for occasional papers.

791. FSA - PS11/6 [pdf]

     Policy statements Published: 27/05/2011 Last modified: 30/05/2013
     Policy FSA - PS11/6 - This Policy Statement reports on the main issues arising from our proposals on implementing CMAR on GABRIEL for CASS medium and large firms in Consultation Paper 11/4 (The Client Money and Asset Return (CMAR).

792. CP16/26: Guidance on the duty of responsibility: amendments to the Decision Procedure and Penalties Manual [pdf]

     Consultation papers Published: 28/09/2016
     We are consulting on proposals to amend the Decision Procedure and Penalties Manual (DEPP) that will give guidance on how we will enforce the ‘duty of responsibility’.

793. CP16/30: Transaction cost disclosure in workplace pensions [pdf]

     Consultation papers Published: 05/10/2016
     This is an open consultation on transaction cost disclosure in workplace pensions. We are consulting on our proposals (CP16/30), and the changes required to our Handbook rules.

794. CP16/17: Quarterly Consultation No. 13 [pdf]

     Consultation papers Published: 04/07/2016 Last modified: 04/07/2016
     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.

795. CP15/18: Fair, reasonable and non-discriminatory access to regulated benchmarks [pdf]

     Consultation papers Published: 03/06/2015 Last modified: 03/06/2015

796. CP15/17: Capital resources requirements for Personal Investment Firms (PIFs) [pdf]

     Consultation papers Published: 28/05/2015 Last modified: 28/05/2015

797. FSA - PS10/5 [pdf]

     Policy statements Published: 24/03/2010 Last modified: 30/05/2013
     Policy FSA - PS10/5 - This Policy Statement PS10/5 introduces guidance (consulted on in Consultation Paper 09/17) on how building societies might choose to comply with high level rules (principally in SYSC, GENPRU and BIPRU) in the areas of treasury

798. CP16/40: Enhancing conduct of business rules for firms providing contract for difference products to retail clients [pdf]

     Consultation papers Published: 06/12/2016
     This consultation outlines our concerns around increasing evidence of poor conduct and risks to investor protection from retail contracts for differences (CFDs) and proposes a package of policy measures designed to address those risks.

799. PS17/1: Implementation of the Enforcement Review and the Green Report [pdf]

     Policy statements Published: 01/02/2017
     In this Policy Statement we report on the main issues arising from Consultation Paper 16/10 Proposed Implementation of the Enforcement Review and the Green Report. It publishes final amendments to the FCA’s Glossary, the Decision Procedure and

800. FSA - FG11/21 [pdf]

     Finalised guidance Published: 08/11/2011 Last modified: 20/10/2014
     This paper is the next of a series issued by the FSA to assist firms and supervisors in understanding, assessing and enhancing the adequacy and effectiveness of operational risk (OR) frameworks used by firms to implement the standardised approach