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FSA and HM Treasury documents

HM Treasury and FSA Consultation Papers and Policy Statements which have been the subject of a written response by the FOA

In addressing the question of the reform of financial regulation in the UK, the FOA has restricted its written responses to address only matters which are relevant to the membership. Papers in final form and which have been submitted to HM Treasury and/or the FSA (and which are set out below) can be viewed on the web site. FOA papers in draft form are available on request from the FOA by any of its members.

As a result of FOA and other responses to formal Consultation Papers and informal consultation procedures, a significant number of changes in substance have been introduced into the revised Bill and to FSA's policy and approach towards the regulation of financial services. The FOA has submitted written responses to the following formal consultation and other documents:

FOA Position Papers on UK Regulation:

Date Title of Paper Reference
May 2002 Revision to ISD FOA Response
May 2002 Checklist for FSA Post N2 Transitional Provisions N2 Checklist
March 2002 Proposed Standards for ATS CESR Consultation Paper
September 2001 The FSA's Approach to the Regulation of E-Commerce FSA Discussion Paper
July 2001 Energy Market Participants and Oil Market Participants: A Consultation on the Interim Regulatory Regime for EMPs FSA CP96
July 2001 Whistleblowing, the FSA & Financial Services Industry FSA Discussion Paper
June 2001 Best Execution FOA Response
March 2001 Public Interest Disclosure Act (PIDA) 1998: Letter to Firms FOA Briefing Note
March 2001 Training & Education: Letter to Firms, Paper, Appendix

FOA Briefing Note (a)
FOA Briefing Note (b)
FOA Briefing Note (c)
March 2001 The Regulation of Approved Persons: Controlled Functions FSA CP53
January 2001
 Supplement to the Draft Code of Market Conduct FSA CP76
December 2000 Investigation of Complaints against the FSA FSA CP73
December 2000 Financial Services Authority: General Provisions FSA CP71
November 2000 The Supervision Manual FSA CP64
October 2000 The Enforcement Manual FSA CP65
September 2000  The Conduct of Business Sourcebook Supplement (supplementary response to Q15) FSA CP57
September 2000 Feedback Statement to CP34: Training and Competence Sourcebook FSA CP60
September 2000 Financial Services Compensation Scheme Draft Rules FSA CP58
September 2000 Investment Business Interim Prudential Sourcebook FSA CP54
August 2000 Complaints Handling Arrangements. CP33 and Draft Rules FSA Feedback Statement
July 2000 The Inter-Professionals Code (IPC) FSA CP47
June 2000 Money Laundering: The FSA's New Role FSA CP46
June 2000 The Conduct of Business Sourcebook FSA CP45
April 2000 RIE and RCH Sourcebook FSA CP39
March 2000 The FSA's Approach to Regulation of the Market Infrastructure FSA Discussion Document
March 2000 Customer Classification FSA CP43
March 2000 Senior Management Arrangements, Systems & Controls FSA CP35
February 2000 Protecting Client Money on the failure of an Authorised Firm FSA CP38
February 2000 Training and Competence Sourcebook FSA CP34
January 2000 Financial Promotion - A New Approach for the Information Age HMT Consultation Document
January 2000 The FSA's Approach to Setting Prudential Standards FSA CP31
January 2000 The Permission Regime FSA CP29
January 2000 Comparative Information for Financial Services FSA CP28
 

FOA Position Papers on EU Regulation:
December 2001 CESR's Second Consultation on Harmonised Business Conduct Rules FOA Response
November 2001 Proposals for a Revised Investment Services Directive and Appendices Commission Consultation Paper; Appendices
September 2001 The Proposal for a Directive on Market Abuse FOA Response
August 2001 Proposed Standards for Regulating Alternative Systems (ATSs) FESCO Consultation Paper
May 2001 Review of Regulatory Capital for Credit Institutions and Investment Firms Commission Consultation Paper
May 2001 Harmonising Conduct Rules FESCO Consultation Paper
March 2001 Upgrading the ISD: Paper and Appendices Commission Consultation Paper (a)
Commission Consultation Paper (b)
November 2000 Initial Report on the Regulation of European Securities Markets (A Preliminary Response by The Futures and Options Association) Lamfalussy Interim Report
November 2000 Market Abuse (FESCO/00-0961) FESCO Consultation Paper
September 2000 Regulation of European Securities Markets (The FOA Response to the Committee of Wise Men's Questionnaire) Lamfalussy Questionnaire
August 2000 Review of the Investment Services Directive: Key Issues Commission Consultation Document
March 2000 A Review of Regulatory Capital Requirements for EU Credit Institutions and Investment Firms European Commission Consultation Document
March 2000 Operational Risk: The viability of an insurance/capital market solution EC Consultation Document: Appendix 2
January 2000 The Investment Services Directive and Commodities/Commodity Directives FOA Position Paper
     

For documents dated prior to January 2000, click here.