Publications

Showing 51 to 60 of 117 search results.

51. Impact assessment: Financial information on guarantors in debt prospectuses and requests for omission (UKLA/TN/634.1) [pdf]

    Impact assessments

    Published: 18/08/2017

    This impact assessment relates to UKLA/TN/634.1. It has been verified by the Regulatory Policy Committee.

52. Impact assessment: Sponsors: Application of principle to deal with the FCA in an open and co-operative manner (UKLA/TN/713.1) [pdf]

    Impact assessments

    Published: 18/08/2017

    This impact assessment relates to UKLA/TN/713.1. It has been verified by the Regulatory Policy Committee.

53. Impact assessment: TR16/8: Packaged Bank Accounts [pdf]

    Impact assessments

    Published: 25/07/2017

    This impact assessment relates to the disapplication of CASS audit requirements to certain debt management firms. It has been verified by the Regulatory Policy Committee.

54. Impact assessment: PS17/1: Implementation of the Enforcement Review and HBOS Report [pdf]

    Impact assessments

    Published: 25/07/2017

    This impact assessment relates to PS17/1: Implementation of the Enforcement Review and HBOS Report. It has been verified by the Regulatory Policy Committee.

55. Impact assessment: TR15/6 - Handling of claims for Small and Medium-sized Enterprises (SMEs) [pdf]

    Impact assessments

    Published: 25/07/2017

    This impact assessment relates to TR15/6: Handling of insurance claims for Small and Medium-sized Enterprises (SMEs). It has been verified by the Regulatory Policy Committee.

56. Impact assessment: Best execution arrangements in investment managers - multi-firm feedback [pdf]

    Impact assessments

    Published: 19/07/2017

    This impact assessment relates to best execution arrangements in investment managers - multi-firm feedback. It has been verified by the Regulatory Policy Committee.

57. Impact assessment: Use of dealing commission - multi-firm feedback [pdf]

    Impact assessments

    Published: 19/07/2017

    This impact assessment relates to the Use of dealing commission – multi-firm feedback. It has been verified by the Regulatory Policy Committee.

58. Impact assessment: UKLA Technical Note: UKLA/TN/907.2 Block listings [pdf]

    Impact assessments

    Published: 29/06/2017

    This impact assessment relates to TN/907.2 Block listings. It has been verified by the Regulatory Policy Committee.

59. Impact assessment: Proposed changes to our pension transfer rules (PS15/12) and feedback on CP15/7 and rules [pdf]

    Impact assessments

    Published: 29/06/2017

    Last modified: 29/06/2017

    This impact assessment relates to proposed changes to our pension transfer rules (PS15/12) and feedback on CP15/7 and rules. It has been verified by the Regulatory Policy Committee.

60. Impact assessment: Amendments to various forms [pdf]

    Impact assessments

    Published: 23/06/2017

    This impact assessment relates amendments to various forms. It has been verified by the Regulatory Policy Committee.