Publications
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Find and participate in FCA consultations – this section lists our currently open consultations.
Showing 171 to 180 of 211 search results.
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FSA - GC12/1 [pdf]
This guidance applies to strategy trades such as Stock Contingent Trades whereby two or more legs that are dependent on each other are executed simultaneously. -
FSA - GC12/2 [pdf]
The guidance relates to our rules for sale and rent back (SRB), which are primarily set out in the Mortgages and Home Finance Conduct of Business sourcebook (MCOB). -
FSA - GC11/31 [pdf]
The key areas the guidance will cover are the scope and depth of engagement that the signatory of the annual confirmation of compliance (RCB 3 Annex 1D) has with the programme, the content of Management Information and the appropriateness of systems -
FSA - GC11/30 [pdf]
The purpose of the guidance is to set out to firms our expectations of NEDs in delivering the appropriate management of retail conduct risk within firms. By retail conduct risk, we mean the risk of a firm treating its retail customers unfairly and -
FSA - GC11/29 [pdf]
This guidance is likely to be of most relevance to Distributors with their own range of distributor-influenced funds. Firms that run or help to run distributor-influenced funds for distributors. Product providers and platforms that include fund -
FSA - GC11/28 [pdf]
This guidance is likely to be of most relevance to Firms that advise on TLPIs. Investment managers whose investments include exposure to TLPIs. Firms approving financial promotions for TLPIs. -
FSA - GC11/24 [pdf]
The TRUP is intended to provide firms with sufficient guidance to make informed decisions about their transaction reporting obligations. It is not designed to be a comprehensive list of how firms should report in every situation. -
FSA - GC11/25 [pdf]
This paper recommends that this boundary is raised from £50m capital resources to £100m for banks and building societies, aligning it with the corresponding boundary for BIPRU 730K firms (that is a full scope BIPRU investment firm). -
FSA - GC11/26 [pdf]
This guidance is likely to be of most relevance to Firms who provide or distribute short-term payment protection products (in particular short term income protection or debt freeze/debt waiver), or who are considering doing so. -
FSA - GC11/27 [pdf]
Structured products are rising in popularity and the FSA is concerned that the growing number of structured product sales, as well as increasing product complexity, is placing a strain on firms’ systems and controls.