Publications
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Find and participate in FCA consultations – this section lists our currently open consultations.
Showing 161 to 170 of 211 search results.
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FSA - GC13/1 [pdf]
The proposed guidance is required by section 234F of the Financial Services and Markets Act 2000. It does not relate to the Handbook. -
Societies prosecuted under the Industrial and Provident Societies Act and the Friendly Societies Act - 2012 [pdf]
Here are the societies that have been prosecuted for not submitting their annual returns and accounts. -
FSA - GC12/12 [pdf]
This is the second review of SIPP operators we have conducted since April 2007, when the specific activity of administering Self-Invested Personal Pensions (SIPPs) became regulated by the Financial Services Authority (FSA). -
FSA - GC12/9 [pdf]
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. -
FSA - GC12/10 [pdf]
This guidance statement represents our guidance in a field where new requirements relating to remuneration are being implemented within the EEA. We recognise this will be an evolving process, and intend to keep the guidance set out here under review. -
FSA - GC12/7 [pdf]
This document discusses how this consultation will work, as well as setting out our analysis of the costs and benefits of this guidance material. We welcome any comments you may have. -
FSA - GC12/6 [pdf]
The purpose of the guidance is to help firms improve the standards by which they are providing investment advice to retail customers. -
FSA - GC12/5 [pdf]
This consultation seeks views on the changes we propose to make to our regulatory guide, Financial crime: a guide for firms in response to the findings of our thematic review, Antibribery and corruption systems and controls in investment banks. -
FSA - GC12/4 [pdf]
In this guidance we refer to letters or other types of communications used to contact consumers to ask them to respond if they would like their sale to be reviewed as PPI consumer contact letters. -
FSA - GC12/3 [pdf]
The proposed guidance pulls together published material on the standard for independent advice and elaborates on certain aspects, namely relevant markets, model portfolios, discretionary management services and specialists.