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Find and participate in FCA consultations – this section lists our currently open consultations.
Showing 201 to 210 of 211 search results.
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FSA - GC11/5 [pdf]
This Code of Practice (the Code) comprises of general guidance made under section 158(1) of the Financial Services and Markets Act 2000 -
FSA - GC11/1 [pdf]
The purpose of the guidance is to help firms improve the standards by which they are providing investment advice or discretionary management services to retail customers. -
FSA - GC10/8 [pdf]
A chronological review of the qualitative review to date, setting out the widespread failure of most firms who have been reviewed, to demonstrate full compliance despite previously attesting to compliance. -
FSA - GC10/7 [pdf]
The survey concentrated on six areas. In general, oversight strengths and weaknesses at the firms were mixed across the topics; but there were no firms which showed weak practices across all the areas. -
FSA - GC10/6 [pdf]
This guidance is likely to be of most relevance to all ILAS BIPRU firms, although smaller firms will need to consider the content of this letter proportionately and in the context of their own business model. -
FSA - GC10/5 [pdf]
The Individual Liquidity Systems Assessment (ILSA) only concerns simplified Individual Liquidity Adequacy Standards (ILAS) BIPRU firms.1 Any references to a ‘firm’ mean a simplified ILAS BIPRU firm. -
FSA - GC10/3 [pdf]
The guidance is non-exhaustive and non-prescriptive and we expect it will be used to inform good practice. It focuses on operational risk governance and risk management structures, identifying, managing, monitoring and reporting operational risk and -
FSA - GC10/2 [pdf]
Our reviews in the income-producing real estate (IPRE) asset class have covered a large number of firms and portfolios. As a result of these reviews, we believe IPRE is a particularly difficult asset class for which to build effective rating systems -
FSA - GC10/4 [pdf]
Chi-X is launching trading in a new type of instrument on 8 November 2010 – centrally cleared contracts for difference (ccCFDs). These new instruments fall under our transaction reporting regime as the underlying instruments to these CFDs are all -
FSA - Guidance Note No. 10 [pdf]
This guidance note is relevant to authorised persons and payment service providers. It uses "firm" to refer to all such persons.