Publications
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Showing 101 to 110 of 117 search results.
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Impact assessment: Handbook Notice 28 [pdf]
This impact assessment relates to Handbook Notice 28. It has been verified by the Regulatory Policy Committee. -
Impact assessment: Wealth management firms and private banks - Suitability of investment portfolios (TR15/12) [pdf]
This impact assessment relates to Wealth management firms and private banks - Suitability of investment portfolios (TR15/12). It has been verified by the Regulatory Policy Committee. -
Impact assessment: Guidance for firms outsourcing to the ‘cloud’ and other third party IT services (FG16/5) [pdf]
This impact assessment relates to Guidance for firms outsourcing to the ‘cloud’ and other third party IT services (FG16/5). It has been verified by the Regulatory Policy Committee. -
Impact assessment: Thematic review: Principals and their Appointed Representatives (ARs) in the General Insurance (GI) sector [pdf]
This impact assessment relates to the thematic review of Principals and their Appointed Representatives (ARs) in the General Insurance (GI) sector. It has been verified by the Regulatory Policy Committee. -
Impact assessment: Pension reforms – proposed changes to our rules and guidance (CP15/30 and PS16/12) [pdf]
This impact assessment relates to pension reforms – proposed changes to our rules and guidance (CP15/30 and PS16/12). It has been verified by the Regulatory Policy Committee. -
Impact assessment: UKLA Technical Note - UKLA/TN/406.1 Application of related party rules to funds investing in highly illiquid asset classes [pdf]
This impact assessment relates to UKLA/TN/406.1. It has been verified by the Regulatory Policy Committee. -
Impact assessment: UKLA Technical Note: UKLA/TN/308.2 Related party transactions – Modified requirements for smaller related party transactions [pdf]
This impact assessment relates to UKLA/TN/308.2. It has been verified by the Regulatory Policy Committee. -
Impact assessment: FCA Handbook changes regarding the segregation of client money on loan-based crowdfunding platforms, the Innovative Finance ISA (IFISA), and the regulated activity of advising on peer-to-peer (P2P) agreements (PS16/8) [pdf]
This impact assessment relates to changes to the FCA Handbook. It has been verified by the Regulatory Policy Committee. -
Impact assessment: Final Rules on changes to the Approved Persons Regime for insurers not subject to Solvency II (PS15/31) [pdf]
This impact assessment relates to changes to Approved Persons Regime for insurers not subject to Solvency II. It has been verified by the Regulatory Policy Committee. -
Impact assessment: Assessing Suitability: Research and due diligence of products and services thematic review (TR16/1) [pdf]
This impact assessment relates to the Assessing suitability: Research and due diligence of products and services thematic review (TR16/1). It has been verified by the Regulatory Policy Committee.