Access to the papers below is restricted to FOA members only.
| Guidance on applying the exemptions in MIFID to firms and organisations engaged in business in commodities and commodity derivatives |
Clifford Chance Legal opinion
|
September 2004 |
| Prudential article/regulation equivalent to Article 65 of MIFI |
FOA Response
|
April 2004 |
| FOA/KPMG paper on Forms of Credit Risk Mitigation under the RBCD |
FOA Response
|
February 2004 |
| Inter-Institutional Monitoring Group: Second Interim Report: Monitoring the Lamfalussy Process |
FOA Response
|
February 2004 |
| Capital Implications of the Proposed Inclusion of Commodity Derivatives within the Investment Services Directive. |
FOA Response
FOA Response
FOA Response
|
October 2003 |
| Hedge Funds and Derivatives: A response by the FOA to a working document produced by John Purvis, MEP |
FSAP paper
|
October 2003 |
| Commission Services' Third Consultation Paper: Review of Capital Requirements for Banks and Investment Firms |
FOA Response
|
October 2003 |
|
Guide to the FSAP, issued by HMT Treasury, the FSA and Bank of England. Topics include its scope and progress, implications for a range of financial service sectors and their users/customers and key issues to be addressed. |
FSAP paper
|
July 2003 |
| FOA Response to CESR's Consultation on Additional Level 2 Implementing Measures for the Proposed Directive on Insider Dealing and Market Abuse |
FOA Response
|
June 2003 |
|
IPE Response to CESR's Consultation on Additional Level 2 Implementing Measures for the Proposed Directive on Insider Dealing and Market Abuse |
IPE Response
|
June 2003 |
| CESR Market Abuse Mandate: A second call for evidence |
FOA Response
|
March 2003 |
| |
|
|
|
CESR's Advice on Possible Level 2 Implementing Measures for the
Proposed Market Abuse Directive
|
FOA Response
|
October 2002 |
| Capital Markets that Benefit Investors:
A Survey of the Evidence on Fragmentation, Internationalisation
and Market Transparency |
Oxford Finance Group
|
September 2002 |
| Review of the FATF Forty Recommendations |
FOA Response
|
September 2002 |
| Clearing and Settlement in the European
Union: Main Policy Issues and Future Challenges |
FOA Response
|
August 2002 |
| Revision to ISD |
FOA Response
|
May 2002 |
| Second Consultation on Harmonised Business
Conduct Rules |
CESR Consultation Paper
|
December 2001 |
| Proposals for a Revised Investment
Services Directive and Appendices |
Commission Consultation Paper
|
November 2001 |
| |
Appendices
|
November 2001 |
The Proposal for a Directive on Market
Abuse
|
Commission Department Directive
|
September 2001 |
| Proposed Standards for Regulating Alternative Systems
(ATSs) |
FESCO Consultation Paper
|
August 2001 |
|
Review of Regulatory Capital for Credit Institutions and Investment
Firms
|
Commission Consultation Paper
|
May 2001
|
| Harmonising Conduct Rules |
FESCO Consultation Paper
|
May 2001 |
| Upgrading the ISD |
Commission Consultation Paper
|
March 2001
|
| Initial Report on
the Regulation of European Securities Markets |
Lamfalussy Interim Report
|
November 2000 |
| Market Abuse (FESCO)/00-0961) |
FESCO Consultation Paper
|
November 2000 |
| Regulation of European Securities
Markets |
Lamfalussy Questionnaire
|
September 2000 |
| Review of the Investment Services Directive: Key
Issues |
Commission Consultation Document
|
August 2000 |
|
A Review of Regulatory Capital Requirement for EU Credit Institutions
and Investment Firms
|
EC Consultation Document
|
March 2000 |
| Operational Risk: The Viability of an Insurance/Capital
Market Solution |
EC Consultation Document: Appendix
2
|
March 2000 |
| The Investment Services Directive
and Commodities/Commodity Directives |
FOA Position Paper
|
January 2000 |
| Wholesale Business: A Case for Exclusion |
HMT Request for Submissions |
August 1999 |
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