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Showing 891 to 900 of 2126 search results for occasional papers.

  1. PS14/5: Response to CP12/38 – Mutuality and with-profits funds: a way forward [pdf]

    Policy statements Published: 28/03/2014 Last modified: 28/03/2014
    In this Policy Statement we report on the main issues arising from Consultation Paper 12/38 (Mutuality and with-profits funds: a way forward) and publish the final rules.

  2. FSA - FG12/23 [pdf]

    Finalised guidance Published: 13/12/2012 Last modified: 20/10/2014
    The purpose of this paper is to set out the FSA’s further guidance on the scope of the inspection and report of the APM.

  3. CP15/16: Changes to the Approved Persons Regime for Solvency II firms [pdf]

    Consultation papers Published: 27/03/2015 Last modified: 14/09/2015
    In a joint consultation with the Prudential Regulation Authority (PRA), we are proposing changes to our regime for regulating key individuals in firms subject to the Solvency II Directive. The FCA is also proposing changes to the governance

  4. CP15/25: Changes to the Approved Persons Regime for insurers not subject to Solvency II: reforms for larger Non-Directive Firms, feedback on CP 15/15, forms, consequentials and transitional aspects [pdf]

    Consultation papers Published: 13/08/2015 Last modified: 14/09/2015
    The proposals in this CP15/25 should be considered in the context of the reforms set out in CP15/15 (Changes to the Approved Persons Regime for insurers not subject to Solvency II), and read alongside it.

  5. CP16/14: UCITS V Level 2 Regulation, SFTR and consequential changes to the Handbook [pdf]

    Consultation papers Published: 19/05/2016 Last modified: 19/05/2016
    We are consulting on proposed changes to the Client Assets sourcebook (CASS) and the Collective Investment Schemes sourcebook (COLL), following the adoption of the Undertakings for Collective Investment in Transferable Securities V Level 2

  6. FSA - GC12/9 [pdf]

    Guidance consultations Published: 26/07/2012 Last modified: 11/07/2016
    The purpose of this paper is to set out FSA’s further guidance on the scope of the inspection and report of the APM and seek feedback from market participants on them.

  7. FSA - PS12/21 [pdf]

    Policy statements Published: 01/11/2012 Last modified: 30/05/2013
    Policy FSA - PS12/21 - This Policy Statement (PS) is a response to the main issues arising from Consultation Paper 12/1, Large Exposure Regime – Groups of connected clients and connected counterparties.

  8. FSA - PS12/6 [pdf]

    Policy statements Published: 26/03/2012 Last modified: 30/05/2013
    Policy FSA - PS12/6 - This Policy Statement reports on the main issues in relation to the CASS Resolution Pack arising from Consultation Paper 11/16 (Recovery and Resolution Plans) and publishes final rules.

  9. PS13/4 - Financial Conglomerates Directive – Technical Review Amendments [pdf]

    Policy statements Published: 04/06/2013 Last modified: 04/06/2013
    In this Policy Statement we report on the main issues arising from FSA Consultation Paper 12/40 (Financial Conglomerates Directive – Technical review amendments) and publish the final rules.

  10. FSA - CP12/19 [pdf]

    Consultation papers Published: 22/08/2012 Last modified: 30/05/2013
    Consultation FSA - CP12/19 - We are consulting on changing our rules to ban the promotion of unregulated collective investment schemes (UCIS) and close substitutes to ordinary retail investors in the UK.
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