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APG on Wholesale Financial Markets and Services
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FOA Position Papers - Archive

FOA Position Papers on Reform of UK Regulation (up to December 2002)

Date Title of Paper Reference
Dec 2002 CP97: FSA Proposals for Netting & Collateral FOA follow up comments

Sept 2001

The FSA's Approach to the Regulation of E-Commerce

FSA Discussion Paper

July 2001 Best Execution FOA Response Paper
July 2001 Whistleblowing, the FSA & Financial Services Industry FSA Discussion Paper
July 2001 CP96: Energy Market Participants and Oil Market Participants: A Consultation on the Interim Regulatory Regime for EMPs
 FOA Response Paper
March 2001 Public Interest Disclosure Act (PIDA) 1998: Letter to Firms FOA Briefing Note

March 2001

CP35: The Regulation of Approved Persons: Controlled Functions

FOA Response Paper

March 2001

Training and Education: Letter to Firms, Paper, Appendix

FOA Briefing Note (a)

    FOA Briefing Note (b)
    FOA Briefing Note (c)

Jan 2001

 CP76: Supplement to the Draft Code of Market Conduct

FOA Response Paper

Dec 2000

 CP7: Financial Services Authority: General Provisions

FOA Response Paper

Dec 2000 CP73: Investigation of Complaints Against the FSA
 FOA Response Paper
Nov 2000 CP64: The Supervision Manual
 FOA Response Paper
Oct 2000 CP65: The Enforcement Manual
 FOA Response Paper
Sept 2000 Feedback Statement to CP34: Training and Competence Sourcebook FOA Response Paper
Sept 2000 CP58: Financial Services Compensation Scheme Draft Rules
 FOA Response Paper
Sept 2000 CP57: The Conduct of Business Sourcebook Supplement (supplementary response to question 15) FOA Response Paper
Sept 2000

CP54: Investment Services Compensation Scheme Draft Rules

FOA Response Paper

Aug 2000 Complaints Handling Arrangements CP33 and Draft Rules FSA Feedback Statement
July 2000

CP47: The Inter-Professionals Code (IPC)

FOA Response Paper

June 2000 CP45: The Conduct of Business Sourcebook FOA Response Paper
June 2000 CP46: Money Laundering: The FSA's New Role
 FOA Response Paper
June 2000 CP39: RIE and RCH Sourcebook FOA Response Paper
March 2000 CP43: Customer Classification

FOA Response Paper

March 2000 CP35: Senior Management Arrangements, Systems & Controls

 FOA Response Paper
Feb 2000 CP34: Training and Competence Sourcebook FOA Response Paper
Feb 2000 CP38: Protecting Client Money on the Failure of an Authorised Firm FOA Response Paper
Jan 2000 CP31: The FSA's Approach to Setting Prudential Standards FOA Response Paper
Jan 2000 CP29: The Permission Regime
 FOA Response Paper
November 1999 The FSA's Approach to Giving Guidance and Waivers to Firms. Policy Statement. FSA Policy Statement
October 1999 Consumer Complaints and the New Single Ombudsman Scheme FSA CP33
October 1999 Summary of Responses to CP13 Response to FSA Policy Statement CP13
October 1999 CP33: The Regulation of Approved Persons FOA Response Paper
September 1999  CP25: Enforcing the New Perimeter FOA Response Paper
July 1999 Summary of Responses to CP17 FSA Update on Enforcement
June 1999 CP24: Consumer Compensation: A Further Consultation FOA Response Paper
May 1999 Commercial Services and Market Bill: Regulated Activities HMT Consultation Document
May 1999 Financial Services and Markets Bill: Financial Promotion HMT Consultation Document
April 1999 Financial Services and Markets Bill: Progress Report HMT Policy Statement
March 1999 CP20: The Qualifying Conditions for Authorisation FOA Response Paper
February 1999 CP15: Promoting Public Understanding of Financial Services: A Strategy for Consumer Education FOA Response Paper
February 1999 Differentiated Regulatory Approaches: Future Regulation of Inter-Professional Business FSA Discussion Paper
November 1998 CP17: Financial Services Regulation: Enforcing the New Regime FOA Discussion Paper
September 1998 CP13: The FSA Principles for Businesses FOA Response Paper
August 1998 CP12: Implementation in the UK of the EU Investor Compensation Directive FOA Response Paper
August 1998 Consumer Complaints: The New Financial Services Ombudsman Scheme FSA Policy Statement
July 1998 Financial Services and Markets Bill: Parts 1, 2 and 3 HMT Consultation Document
July 1998 The Open Approach to Regulation FSA Policy Statement
June 1998 CP10: Market Abuse - Parts 1 and 2 FOA Response Paper
April 1998 CP8: Designing the FSA Handbook of Rules and Guidance FOA Response Paper
December 1997 CP5: Consumer Compensation FOA Response Paper
December 1997 CP4: Consumer Complaints FOA Response Paper
October 1997 CP2: Practitioner Involvement FOA Response Paper
October 1997 CP1: Consumer Involvement FOA Response Paper
 

FOA Position Papers on European/International Regulation - (up to December 1999)
Date Title of Paper Reference
October 1999 The Commercial Case Against Applying Financial Services and Markets Bill (and FSA Regulations) to Wholesale Energy Market Participants A further supplementary paper in support of the Case for Exclusion
August 1999 Wholesale Business: A Case for Exclusion HMT Request for Submissions
March 1999 Joint Committee on Financial Services and Markets A request for submissions from the Joint Committee on Financial Services and Markets
December 1998 The Investment Services Directive and Commodities/Commodity Directives Directives
May 1998 Juries in Serious Fraud Trials Home Office Consultation Document
April 1998 Enquiry Into the Financial Services Authority A request for Submissions From the Treasury Select Committee of the House of Commons