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FOA and UK Regulation

FOA Position Papers on UK Regulation

The process of unifying the regulatory framework of all sectors of financial services under the Financial Services Authority has been a major programme of work which is now largely completed. There will, however, continue to be evolutionary changes in UK regulatory culture, policy, practice and procedure which will impact on the whole of the regulated community, particularly as new European harmonised rules become formulated and adopted into the FSA Handbook.

FSA Factsheet

Checking your identity - the fight against money laundering, financial crime and terrorism

Click here for FSA Publications relating to the CRD Disclosure Requirements

Access to the papers below is restricted to FOA members only.

Click here for responses to HM Treasury and Inland Revenue papers

Click here for reponses to Exchanges papers

Click here for Financial Crime papers

Responses to FSA papers

Sourcebook or Manual Ref Code Title of Paper Link Date
Conduct of Business COB

CP06/19: Reforming Conduct of Business Regulation and CP06/20: Financial Promotion and Other Communications - final response

Joint Associations Response CP06/19

Feb 2007
    CESR's consultation on Inducements under MiFID Joint Associations Response  
    CESR's consultation on the Passport under MiFID Joint Associations Response  
Training and Competence TC

CP07/4: The Training and Competence Sourcebook Review

FOA Response CP07/4 May 2007
Conduct of Business COB

CP06/19: Reforming Conduct of Business Regulation and CP06/20: Financial Promotion and Other Communications

Joint Associations Response CP06/19

 

Nov 2006
    Reforming the Approved Persons regime FOA Response CP06/15 Nov 2006
Conduct of Business COB DP06/3; Implementing MiFID's best execution requirements FOA Response DP06/03 Sept 2006

Prudential Regulation

PRU


 

 CP06/03: Strengthening Capital Standards 2 FOA Response Paper CP06/03

May 2006
Supervision SUP DP06/1: Quarterly CP Chapter 6: Proposed amendments in relation to fraud reporting DP06/1: Quarterly CP

Mar 2006

Money Laundering

 

 

ML


 

 CP05/10: Reviewing the FSA Handbook FOA Response Paper CP05(10) Oct 2005
Prudential PRU CP05/3:Strengthening Capital Standards FOA Response Paper CP05/3 May 2005

Supervision

 SUP FSA Discussion Paper 25: Development of transaction monitoring systems FOA Response Paper DP25 Feb 2004
Conduct of business COB CP205: Conflicts of interest: Investment research and issues of securities – Feedback on CP171, made text and limited further consultation

FOA Response CP205

FOA Response Annex CP205

Jan 2004
Money Laudering ML FSA Discussion Paper 22: Reducing Money Laundering Risk FOA Response Paper DP22 Jan 2004
Supervision SUP CP198: Regulatory reporting – a new integrated approach FOA Response Paper CP198 Dec 2003
Training and Competence TC CP194 - Amendments to the Training & Competence sourcebook: including consultation on competencies for Mortgage Advisors FOA Response Paper CP194 Nov 2003
Prudential Sourcebook PRU CP189: Report and first consultation on the implementation of the new Basel and EU Capital Adequacy Standards FOA Response Paper CP189 Nov 2003
Conduct of Business COB CP176: Bundled brokerage and soft commission arrangements FOA Response Paper CP176 Oct 2003
Conduct of Business COB CP 171 – Conflicts of interest and derivative investment research FOA Response Paper CP171 Aug 2003
    Concordat between Ofgem and the FSA FOA Response Paper Mar 2003
Conduct of Business
(COB)
 CP154 - Best Execution FOA Response Paper CP154 Feb 2003
     CP153 - Alternative Trading Systems FOA Response Paper CP153 Feb 2003

For FOA documents dated prior to January 2003, click here.