Publications

Showing 71 to 80 of 117 search results.

71. Impact assessment: Review of Annuity Sales Practices (TR16/7) [pdf]

    Impact assessments

    Published: 23/06/2017

    This impact assessment relates to the Review of Annuity Sales Practices (TR16/7). It has been verified by the Regulatory Policy Committee.

72. Impact assessment: UKLA Technical Note: UKLA/TN/410.1 Definition of ‘investment manager’ [pdf]

    Impact assessments

    Published: 23/06/2017

    This impact assessment relates to the UKLA/TN/410.1. It has been verified by the Regulatory Policy Committee.

73. Impact assessment: Conflicts of Interest in Dark Pools (TR16/5). [pdf]

    Impact assessments

    Published: 23/06/2017

    Last modified: 23/06/2017

    This impact assessment relates to Conflicts of Interest in Dark Pools . It has been verified by the Regulatory Policy Committee.

74. Impact assessment: Implementation of the UCITS V Directive (PS16/2) [pdf]

    Impact assessments

    Published: 23/06/2017

    This impact assessment relates to the Implementation of the UCITS V Directive (PS16/2). It has been verified by the Regulatory Policy Committee.

75. Impact assessment: Thematic review: Quality of debt management advice [pdf]

    Impact assessments

    Published: 23/06/2017

    This impact assessment relates to the thematic review of quality of debt management advice. It has been verified by the Regulatory Policy Committee.

76. Impact assessment: Smarter Communications: Removing ineffective disclosure requirements in our Handbook [pdf]

    Impact assessments

    Published: 23/06/2017

    This impact assessment relates to Smarter Communications: Removing ineffective disclosure requirements in our Handbook. It has been verified by the Regulatory Policy Committee.

77. Impact assessment: UKLA Technical Note: TN/701.3 Sponsors: Conflicts of interest [pdf]

    Impact assessments

    Published: 23/06/2017

    Last modified: 23/06/2017

    This impact assessment relates to TN/701.3 Sponsors: Conflicts of interest. It has been verified by the Regulatory Policy Committee.

78. Impact assessment: UKLA Technical Note: TN/701.2 Sponsors: Conflicts of interest [pdf]

    Impact assessments

    Published: 23/06/2017

    This impact assessment relates to TN/701.2 Sponsors: Conflicts of interest. It has been verified by the Regulatory Policy Committee.

79. Impact assessment: Embedding the Mortgage Market Review: Advice and Distribution (TR15/9) [pdf]

    Impact assessments

    Published: 23/06/2017

    This impact assessment relates to the Mortgage Market Review. It has been verified by the Regulatory Policy Committee.

80. Impact assessment: On the customer understanding of transactions – publication of findings [pdf]

    Impact assessments

    Published: 23/06/2017

    This impact assessment relates to the publication of findings on the customer understanding of transactions . It has been verified by the Regulatory Policy Committee.