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Impact assessment: UKLA Technical Note: UKLA/TN/907.2 Block listings [pdf]
This impact assessment relates to TN/907.2 Block listings. It has been verified by the Regulatory Policy Committee. -
CFD firms fail to meet our expectations on appropriateness assessments
Findings from our review of appropriateness assessments for sales of contracts for difference (CFD) products, through a sample of 23 firms. -
Impact assessment: Proposed changes to our pension transfer rules (PS15/12) and feedback on CP15/7 and rules [pdf]
This impact assessment relates to proposed changes to our pension transfer rules (PS15/12) and feedback on CP15/7 and rules. It has been verified by the Regulatory Policy Committee. -
CP17/18: Consultation on implementing asset management market study remedies and changes to Handbook [pdf]
Following our study of the asset management market, we are consulting on changes to the way we regulate authorised fund managers. Our consultation also discusses applying equivalent provisions to similar retail investment products. -
MS15/2.3: Asset Management Market Study: Final Report [pdf]
We have published the final findings of our asset management market study. -
MS15/2.3: Asset Management Market Study: Final Report: Annex 4: Assessing the relationship between the price and performance of retail equity funds in the UK [pdf]
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MS15/2.3: Asset Management Market Study: Final Report: Annex 1: Additional feedback and detail on our responses [pdf]
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MS15/2.3: Asset Management Market Study: Final Report: Annex 5: Assessment of third party datasets [pdf]
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MS15/2.3: Asset Management Market Study: Final Report: Annex 2: Fund merger and closure analysis [pdf]
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MS15/2.3: Asset Management Market Study: Final Report: Annex 3: Segregated mandate pricing analysis [pdf]