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  1. DP17/3: Discussion Paper on distributed ledger technology [pdf]

    Discussion papers

    Published: 10/04/2017

    We are launching a discussion to start a dialogue on the potential for future development of distributed ledger technology (DLT) in the markets we regulate.

  2. Review of the Effectiveness of Primary Markets: The UK Primary Markets Landscape: DP17/2 [pdf]

    Discussion papers

    Published: 14/02/2017

  3. Illiquid assets and open-ended investment funds: DP17/1 [pdf]

    Discussion papers

    Published: 08/02/2017

  4. Illiquid assets and open-ended investment funds: DP17/1

    Discussion papers

    Published: 08/02/2017

    Last modified: 09/05/2017

    We are launching a discussion about some of the risks created when consumers use open-ended funds to gain exposure to assets that may be difficult for the fund manager to buy, sell or value quickly. In this paper we refer to these assets as

  5. Overall responsibility and the legal function: DP16/4 [pdf]

    Discussion papers

    Published: 03/10/2016

    We are launching a discussion to clarify how and why the legal function is currently captured under the Senior Managers and Certification Regime (SM&CR) and to consider whether it should continue to be part of the regime.

  6. Overall responsibility and the legal function: DP16/4

    Discussion papers

    Published: 28/09/2016

    Last modified: 23/01/2019

    In September 2016, we launched Discussion Paper DP16/4 to clarify how and why the legal function is currently captured under the Senior Managers and Certification Regime (SM&CR) and to consider whether it should continue to be part of the regime.

  7. DP16/3: Availability of information in the UK Equity IPO process [pdf]

    Discussion papers

    Published: 13/04/2016

    Last modified: 13/04/2016

  8. DP16/3: Availability of information in the UK Equity IPO process

    Discussion papers

    Published: 13/04/2016

    Last modified: 13/04/2016

    DP16/3: Availability of information in the UK Equity IPO process. Discussion papers First published:. 13/04/2016. Last updated: 13/04/2016. Share page. DP16/3: Availability of information in the UK Equity IPO process. In this paper we consider

  9. DP16/2: CASS 7A and the Special Administration Regime Review [pdf]

    Discussion papers

    Published: 09/03/2016

    Last modified: 09/03/2016

    This discussion paper seeks feedback on a number of aspects of the client assets regime, in particular regarding the client money distribution rules (CASS 7A) and their interaction with the Special Administration Regime (SAR).

  10. DP16/2: CASS 7A and the Special Administration Regime Review

    Discussion papers

    Published: 09/03/2016

    Last modified: 09/11/2016

    DP16/2: CASS 7A and the Special Administration Regime Review. Discussion papers First published:. 09/03/2016. Last updated: 09/11/2016. Share page. DP16/2: CASS 7A and the Special Administration Regime Review. This discussion paper seeks feedback
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