Regulatory Law

Chair of Regulatory Law Committee

Karen Anderson
Karen.Anderson@hsf.com

 

 

• 09/02/2023 - CLLS Reg Law Committee - Response on CP22-27 - Introducing a gateway for firms who approve financial promotions

  The CLLS Regulatory Law Committee has submitted a Response to the FCA on CP22-27 - Introducing a gateway for firms who approve financial promotions.

  

• 16/07/2022 - 31 05 2021 - Letter from HMT re Brexit onshoring re CSDR

  Response from BEIS to the Regulatory Law Committee's submission on the onshoring of the Central Securities Depositories Regulation

  

• 17/05/2022 - CLLS statement on share security BEIS comments

  Response to the Company, Regulatory and Insolvency Committees of the CLLS by the Department for Business, Energy and Industrial Strategy ("BEIS") on the application of the NSI to the creation of an equitable charge over 25% or more of the shares in a company.

  

• 18/09/2021 - CLLS Reg Law Comm - Final response to FCA CP on statutory notices

  The CLLS Regulatory Law Committee’s Response to the FCA CP on statutory notices

  

• 02/08/2021 - CLLS Reg Law Comm - Final response to Law Commission 14th Work Programme

  Regulatory Law Committee - Response to the Law Commission's Consultation on 14th Programme of Law Reform: UK Statute Book

  

• 28/07/2021 - CLLS Reg Law Comm - Final response to HMT on FPO order

  Response by the CLLS Regulatory Law Committee on HM Treasury consultation on Financial Promotions Order: Onshoring issue 27th July 2021

  

• 26/07/2021 - FCA Consultation Paper – A new Consumer Duty - 26 -07 21

  Regulatory Law Committee response to the FCA Consultation Paper – A new Consumer Duty (CP21/13)

  

• 22/07/2021 - Regulatory Law Committee's response to HM Treasury consultation on non-transferable debt securities

  

• 13/07/2021 - Response to FCA Discussion Paper (DP21/1) 'Strengthening our financial promotion rules for high-risk investments and firms approving financial promotions'

  

• 02/06/2021 - CLLS Reg Law Comm - Final response to FCA consultation papers on IFPR 2

  CLLS Regulatory Committee’s response to the FCA's consultations on the Investment Firms Prudential Regime (IFPR)

  

• 12/03/2021 - Regulatory Law Committee - Final response to HMT Call for Evidence on Overseas Framework

  

• 18/02/2021 - CLLS Regulatory Committee's response to HM Treasury’s Consultation Paper on Phase II of the Future Regulatory Framework Review

  

• 11/02/2021 - CLLS Regulatory Law Committee response to FCA Consultation on Guidance for Insolvency practitioners on how to approach regulated firms

  

• 22/12/2020 - CLLS Regulatory Law Committee response to the FCA's Call for Input on the Consumer Investments Market

  

• 26/10/2020 - Response of CLLS Regulatory Law Committee to to HMT Cryptoassets Financial Promotions Consultation

  

• 26/10/2020 - Response of CLLS Regulatory Law Committee to HMT Financial Promotions Consultation

  

• 21/05/2020 - Bank of England Discussion Paper - Transforming Data Collection from the UK Financial Sector

  

• 21/05/2020 - Response to IRSG Report: Architecture for Regulating Finance After Brexit - Phase II

  

• 03/10/2019 - Response to FCA Consultation on prohibiting sale to retail clients of investment products that reference cryptoassets

  Response to FCA Consultation on prohibiting sale to retail clients of investment products that reference cryptoassets

  

• 17/06/2019 - Regulatory Law Committee response to the Transposition of the Fifth Money Laundering Directive

  CLLS Regulatory Law Committee response to HMT Consultation of the transposition of the Fifth Money Laundering Directive (cryptoassets and trusts).

  

• 04/03/2019 - FCA CP18-42 - High-Cost Credit Review - Overdrafts consultation paper and policy statement

  CLLS Regulatory Law Committee's final response to FCA CP18-42 on overdrafts, which sets out the FCA’s proposals on reforming the way banks charge for overdrafts.

  

• 08/02/2019 - FCA CP 18/38 - Restricting contract for difference products sold to retail clients

  Regulatory Law Committee response to FCA CP 18/38 - Restricting contract for difference products sold to retail clients

  

• 13/12/2018 - CLLS Response - Temporary permissions regime for inbound firms and funds

  CLLS Regulatory Law Committee response to the FCA's consultation on the temporary permissions regime for inbound firms and funds

  

• 22/11/2018 - CLLS endorsed memorandum on private contracts and Schedule.

  

• 06/07/2018 - Response to FCA Guidance Consultation 18/1 on new chapter to the financial crime guide

  Response of Regulatory Law Committee to FCA Guidance Consultation 18/1 on new chapter to the financial crime guide on insider dealing and market manipulation systems and controls

  

• 18/06/2018 - FCA Call for Input: Using technology to achieve smarter regulatory reporting

  Response by Regulatory Law Committee to FCA Call for Input: Using technology to achieve smarter regulatory reporting

  

• 10/05/2018 - Feedback to Commission on fund distribution

  

• 10/05/2018 - Draft Directive and Regulation on facilitating cross-border distribution of collective investment funds

  Regulatory Law Committee Feedback on draft Directive and Regulation on facilitating cross-border distribution of collective investment funds

  

• 09/02/2018 - Regulatory Law Committee Response to FCA on Industry Codes of Conduct

  CP17/37 – Consultation Paper on Industry Codes of Conduct and Discussion Paper on FCA Principle 5

  

• 29/12/2017 - Regulatory Law Committee - letter to FCA - MiFID II -Outsourcing in relation to Portfolio Management Services

  CLLS Regulatory Law Committee - letter to FCA - MiFID II -Outsourcing in relation to Portfolio Management Services. NB - Stephen Hanks confirmed in his response to this letter that the reference to the inducements provisions not falling away was not intended to be a comment about the obligations on the person to whom an investment firm delegates.

  

• 16/05/2017 - CLLS Reg Law Committee Final response to FCA re ESMA AIFMD Q and A

  

• 24/03/2017 - CLLS Reg Committee response to Ministry of Justice - Call for evidence on corporate liability for economic crime

  

• 20/02/2017 - CP 16-43 – Markets in Financial Instruments Directive II Implementation – Consultation Paper IV

  

• 26/01/2017 - CLLS Reg Law Committee Final response to FCA Future Mission

  

• 04/01/2017 - FCA Consultation on MiFID II implementation Consultation Paper III

  

• 23/12/2016 - Response to HMT Consultation on Amending the Definition of Financial Advice

  

• 23/12/2016 - Response to FCA Consultation Paper 16/28 on remuneration

  

• 06/09/2016 - Response to CP16-17 FCA Quarterly Consultation No 13

  

• 14/07/2016 - Joint FCA and PRA consultation on proposed implementation of the Enforcement Review and the Green Report

  CP 16-10: Joint FCA and PRA consultation on proposed implementation of the Enforcement Review and the Green Report

  

• 29/03/2016 - CLLS RL Comm_ Response to European Ombudsman (trilogues and transparency of trilogues) 29-03-2016

  

• 29/03/2016 - CLLS RL Comm_ Response to ESMA (market abuse regime) 29-03-2016

  

• 23/02/2016 - CLLS Reg Law Committee_ Letter to FCA REP-CRIM 23.02.16 Final

  

• 04/02/2016 - Response to FCA 15_35

  

• 04/02/2016 - CLLS Reg Law Committee: Letter to HMT (Draft MAR Regs)

  

• 04/01/2016 - Response to FCA Discussion Paper on Smarter Consumer Communications

  

• 04/01/2016 - Response to HM Treasury Technical Consultation on the Bank of England Bill

  

• 17/06/2015 - Response to EBA Consultation 2015/03 on Draft Guidelines on Sound Remuneration Policies

  

• 17/06/2015 - Response to EBA Consultation 2015/06 on Limits on Exposures to Shadow Banking Entities

  

• 04/05/2015 - Response from FCA to CLLS re Withdrawal of Unfair Contract Terms Guidance

  

• 29/04/2015 - Letter to FCA regarding Withdrawal of Unfair Contract Terms Guidance

  

• 02/02/2015 - Response to FCA Guidance Consultation: Proposed guidance on financial crime systems and controls

  

• 29/01/2015 - Response to CP14/23 Restrictions on the Retail Distribution of Regulatory Capital Instruments

  

• 29/01/2015 - Response to FEMR: How fair and effective are the fixed income, foreign exchange and commodities markets?

  

• 14/01/2015 - ESMA Consultation on Guidelines on application of C6 and C7 of Annex 1 of MiFID

  

• 14/01/2015 - Response to EBA/CP/2014/33 - Draft Regulatory Technical Standards on the contractual recognition of write-down and conversion powers under Article 55 (3) of the Bank Recovery & Resolution Directive

  

• 16/12/2014 - Response to ESMA's oral evidence to the House of Lords on the EU Financial Regulatory Framework

  

• 02/12/2014 - Letter to HMT re the Financial Policy Committee's Housing Policy Market Tools

  

• 05/11/2014 - Response to the FCA's call for examples of retrospective application of rules by the FCA/FSA

  

• 05/11/2014 - Response to the ESMA CP 809 on MAR technical standards.

  

• 09/10/2014 - Response to HMT consultation on the transposition of the Bank Recovery and Resolution Directive

  The consultation considered some of the key issues to be addressed in the transposition of the Bank Recovery and Resolution Directive, and sought views from industry and others potentially affected by the changes. The response focussed on the proposals for removing the impediments to resolvability discussed in section 3 of the consultation document; and in particular the proposals to give enforcement powers for early intervention to the Bank of England.

  

• 19/08/2014 - Response to ESMA’s Consultation Paper on MiFID II/MiFIR

  The Committee’s submission responded to those sections of the ESMA paper where the Committee hoped that its comments may have a useful impact from a legal perspective.

  

• 14/07/2014 - Response to HMT Review of enforcement decision-making at the financial services regulators: call for evidence

  The consultation formed part of a Government review, led by the Treasury, of the fairness, transparency, speed and efficiency of the institutional arrangements and processes for enforcement decision making at the FCA and the PRA. The submission, which focussed on disciplinary enforcement action, responded to the specific consultation questions.

  

• 25/03/2014 - Response to Prudential Regulation Authority Consultation on PRA Rulebook CP2/14

  The Consultation Paper set out proposals to redraft certain modules of the Prudential Regulation Authority’s (“PRA”) Handbook. The scope of the response was limited to the Committee’s views on the proposed PRA Fundamental Rules (“FRs”). (Chapter 3 of the Consultation Paper set out the PRA’s proposal to replace the six Principles for Business (the “Principles”) inherited from the FSA with the FRs) In addition to its detailed observations on the proposed FRs, the Submission also noted that, as a general observation, the Committee considered that the proposed changes to the Principles are unnecessary and risk causing legal confusion amongst dual-regulated firms.

  

• 18/03/2014 - Memorandum on EMIR: reporting of derivatives transactions and corporate transactions

  The memorandum concerns the potential legal uncertainties which may arise as to the application of EMIR – and specifically its reporting requirements - to ordinary corporate transactions and arrangements (e.g. between companies and their shareholders, when capital raising, with share scheme arrangements for employees).

  

• 28/02/2014 - Response to FCA CP13/17: Use of dealing commission

  The consultation paper focussed on proposed changes to the FCA’s use of dealing commission rules in its Conduct of Business Sourcebook (COBS). The FCA stated that the proposed changes were designed to “ensure investment managers make appropriate judgements and control costs on behalf of their clients when using dealing commission to pay for goods and services”. The submission addressed the consultation questions, and noted the Committee's significant concerns in relation to: 1)“the presentation of the changes as being a “clarification” and as being consistent with the “intention behind the original regime”. These are clearly substantive changes to the rules which have a number of implications, including on the requirement for an Article 4 notification;” 2)“the introduction of a new definition relating to research; and” 3)“the definition of corporate access.”

  

• 17/02/2014 - Response to HMT Review of the Balance of Competences (Single Market: Financial Services and the Free Movement of Capital - Call for Evidence)

  The Committee responded in detail to the consultation questions, and noted generally that it had “many serious concerns about the current approach to law making and implementation for the single market in financial services”. It argued that “[t]these could be addressed and it is in the interests of the UK and in particular London that they are.”

  

• 24/10/2013 - Response to FCA CP 13/5 Review of the client assets regime for investment business

  The consultation paper consulted on material changes to the rules in relation to client money, custody assets and mandates. The submission responded in detail to some of the consultation questions.

  

• 19/09/2013 - Response to JMLSG consultation on proposed amendments to its Money Laundering Guidance for the Financial Sector

  Response to JMLSG consultation on proposed amendments to its Money Laundering Guidance for the Financial Sector.

  

• 02/07/2013 - Response to FSA CP13/8: Publishing information about warning notices

  Response to FSA CP13/8: Publishing information about warning notices

  

• 10/05/2013 - Response to FSA CP 13/9: Implementation of the Alternative Investment Fund Manag

  Response to FSA CP 13/9: Implementation of the Alternative Investment Fund Managers Directive Part 2

  

• 01/02/2013 - Response to FSA CP 12/32: Implementation of the Alternative Investment Fund

  Response to FSA CP 12/32: Implementation of the Alternative Investment Fund Managers Directive

  

• 07/01/2013 - Response to HMT consultation: A new approach to financial regulation: draft

  Response to HMT consultation: A new approach to financial regulation: draft secondary legislation

  

• 14/12/2012 - Response to FSA CP 12/26: Regulatory reform: the PRA and FCA regimes for Approve

  Response to FSA CP 12/26: Regulatory reform: the PRA and FCA regimes for Approved Persons

  

• 14/12/2012 - Response to FSA consultation paper: Journey to the Financial Conduct Authority

  Response to FSA consultation paper: Journey to the Financial Conduct Authority

  

• 14/12/2012 - Response to ESMA document: Consultation on Guidelines on remuneration policies

  Response to ESMA document: Consultation on Guidelines on remuneration policies and practices (MiFID) (ESMA/2012/570)

  

• 14/11/2012 - Response to FSA CP 12/19: Restrictions on the retail distribution of unregulated

  Response to FSA CP 12/19: Restrictions on the retail distribution of unregulated collective investment schemes and close substitutes

  

• 27/09/2012 - Response to ESMA Consultation on Guidelines on sound remuneration policies

  Response to ESMA Consultation on Guidelines on sound remuneration policies under the AIFMD

  

• 10/08/2012 - Submission to Arlene McCarthy, MEP regarding European Commission’s Draft

  Submission to Arlene McCarthy, MEP regarding European Commission’s Draft Regulation on Insider Dealing and Market Manipulation

  

• 06/06/2012 - Response to the Commission’s Green Paper on Shadow Banking

  Response to the Commission’s Green Paper on Shadow Banking

  

• 22/05/2012 - Response to HM Treasury’s Informal Consultation: Policy options for implementing

  Response to HM Treasury’s Informal Consultation: Policy options for implementing the Alternative Investment Fund Manager’s Directive (“AIFMD”)

  

• 01/05/2012 - Comments on FSA Consultation Paper 12/1 on Large Exposures Regime

  Comments on FSA Consultation Paper 12/1 on Large Exposures Regime

  

• 26/03/2012 - Responses to certain of the questions in the FSA’s Discussion Paper

  Responses to certain of the questions in the FSA’s Discussion Paper 12/1 on the Implementation of the Alternative Investment Fund Managers Directive

  

• 23/03/2012 - Response to ESMA Discussion Paper (ESMA/2012/117) on Key concepts of the

  Response to ESMA Discussion Paper (ESMA/2012/117) on Key concepts of the Alternative Investment Fund Managers Directive and types of AIFM

  

• 23/03/2012 - Response from FSA regarding cleansing announcements

  Response from FSA regarding cleansing announcements

  

• 13/03/2012 - Response to ESMA Consultation Paper (ESMA/2011/446) on Guidelines on certain

  Response to ESMA Consultation Paper (ESMA/2011/446) on Guidelines on certain aspects of the MiFID compliance function requirements

  

• 02/03/2012 - Letter to FSA regarding cleansing announcements

  Letter to FSA regarding cleansing announcements

  

• 06/02/2012 - Comments on CP11/27 - PMDR transactions: guidance on the role of brokers

  Comments on CP11/27 - PMDR transactions: guidance on the role of brokers

  

• 02/02/2012 - Response to EC consultation on

  Response to EC consultation on "Review of Markets in Financial Instruments Directive (MiFID)"

  

• 31/01/2012 - Response to EC consultation on legislative steps for Packaged Retail Investment

  Response to EC consultation on legislative steps for Packaged Retail Investment Services Initiative

  

• 25/01/2012 - Comments on proposed Market Abuse Regulation and Market Abuse Directive

  Comments on proposed Market Abuse Regulation and Market Abuse Directive

  

• 16/01/2012 - Response to Markus Ferber MEP's Questionnaire on the European Commission's

  Response to Markus Ferber MEP's Questionnaire on the European Commission's proposals for MiFID/MiFIR

  

• 23/11/2011 - Response to the FSA Guidance Consultation on Simplified Advice

  Response to the FSA Guidance Consultation on Simplified Advice

  

• 08/09/2011 - Response to HMT Consultation

  Response to HMT Consultation "A New Approach to Financial Regulation: The Blueprint for Reform"

  

• 02/09/2011 - Response to the HMT document

  Response to the HMT document "Review of the Money Laundering Regulations 2007: the Government Response"

  

• 11/08/2011 - Response to EC Consultation on a new European Regime for Venture Capital Funds

  Response to EC Consultation on a new European Regime for Venture Capital Funds

  

• 05/08/2011 - Response to FSA Quarterly Consultation (No. 29) CP11/11

  Response to FSA Quarterly Consultation (No. 29) CP11/11

  

• 23/05/2011 - Response to FSA Consultation Guidance on the Remuneration Code

  Response to FSA Consultation Guidance on the Remuneration Code

  

• 18/04/2011 - Response to HMT Consultation

  Response to HMT Consultation "A New Approach to Financial Regulation - Building a Stronger System"

  

• 17/12/2010 - Response to FSA COnsultation Paper (CP10/23) Decision Procedure and Penalties

  Response to FSA COnsultation Paper (CP10/23) Decision Procedure and Penalties Manual and Enforcement Guide Review 2010

  

• 08/12/2010 - Response to FSA CP10/22 (Chapter 6, regarding the Spector judgement)

  Response to FSA CP10/22 (Chapter 6, regarding the Spector judgement)

  

• 12/11/2010 - Response to CEBS Consultation on Guidelines on Remuneration Policies

  Response to CEBS Consultation on Guidelines on Remuneration Policies and Practices

  

• 19/10/2010 - Response to FSA Consultation on the Remuneration Code

  Response to FSA Consultation on the Remuneration Code

  

• 15/10/2010 - Response to HMT Consultation 7874: A new approach to financial regulation

  Response to HMT Consultation 7874: A new approach to financial regulation, judgement, focus and stability

  

• 30/09/2010 - Response to Consultation Paper 10/15 - Chapter 8 Client Money & Assets

  Response to Consultation Paper 10/15 - Chapter 8 Client Money & Assets

  

• 01/09/2010 - Response of the Law Society of England and Wales and CLLS Regulatory and Company

  Response of the Law Society of England and Wales and CLLS Regulatory and Company Law Committees to the European Commission Green Paper on Corporate Governance in Financial Institutions and Remuneration Policies

  

• 30/06/2010 - Response to FSA CP10/9 - Enhancing the Client Assets Sourcebook

  Response to FSA CP10/9 - Enhancing the Client Assets Sourcebook

  

• 28/06/2010 - Response to FSA CP10/11 Implementing Aspects of the Financial Services Act 2010

  Response to FSA CP10/11 Implementing Aspects of the Financial Services Act 2010

  

• 16/06/2010 - Joint CLLS and Law Society response to FSA Consultation Paper CP10/10 Chapter

  Joint CLLS and Law Society response to FSA Consultation Paper CP10/10 Chapter 10: Proposed Changes to the Controllers Regime in the Supervision Manual

  

• 24/03/2010 - Response to HMT Consultation

  Response to HMT Consultation "Establishing Resolution Arrangements for Investment Banks"

  

• 19/03/2010 - Response to FSA Consultation Paper 09/31

  Response to FSA Consultation Paper 09/31 "Retail Distribution Review: Professionalism, Corporate Pensions and Applicability of RDR to pure protection advice"

  

• 15/02/2010 - Response to HMT Consultation on Mortgage Regulation

  Response to HMT Consultation on Mortgage Regulation

  

• 20/01/2010 - Response to

  Response to "An EU Framework for Cross-Border Crisis Management in the Banking Sector"

  

• 14/01/2010 - Submission to the House of Commons Public Bill Committee on the Financial

  Submission to the House of Commons Public Bill Committee on the Financial Services Bill 2009-10

  

• 14/12/2009 - Response to CESR Consultation Paper

  Response to CESR Consultation Paper "Understanding the Definition of Financial Advice Under MiFID"

  

• 11/12/2009 - Response to HM Treasury's Review of the Money Laundering Regulations 2007

  Response to HM Treasury's Review of the Money Laundering Regulations 2007

  

• 11/12/2009 - Covering letter regarding response to HM Treasury's Review of the Money

  Covering letter regarding response to HM Treasury's Review of the Money Laundering Regulations 2007

  

• 23/11/2009 - Response to the consultation on amendments to the Tribunal Procedure

  Response to the consultation on amendments to the Tribunal Procedure (Upper Tribunal) Rules 2008 to accommodate the transfer of the Financial Services and Markets Tribunal to the Upper Tribunal

  

• 16/11/2009 - Comments on the legislative framework for the regulation of alternative finance

  Comments on the legislative framework for the regulation of alternative finance investment bonds (sukuk)

  

• 02/11/2009 - Response to FSA CP09/21 - Transparency as a Regulatory Tool and Publication

  Response to FSA CP09/21 - Transparency as a Regulatory Tool and Publication of Complaints Data

  

• 02/11/2009 - Response to FSA CP09/19 - Enforcement Financial Penalties

  Response to FSA CP09/19 - Enforcement Financial Penalties

  

• 12/10/2009 - Response to the Walker Review - Shareholder engagement and change in control

  Response to the Walker Review - Shareholder engagement and change in control requirements under the EU Acquisitions Directive

  

• 21/09/2009 - Response to the EU Commission's Consultation Paper on the UCITS Depositary

  Response to the EU Commission's Consultation Paper on the UCITS Depositary Function

  

• 20/07/2009 - Alternative Investment Fund Managers Directive - Further Comments

  Alternative Investment Fund Managers Directive - Further Comments

  

• 06/07/2009 - Comments on Alternative Investment Fund Managers Directive

  Comments on Alternative Investment Fund Managers Directive

  

• 22/06/2009 - Response to FSA Discussion Paper DP09/2 on the Global Banking Crisis

  Response to FSA Discussion Paper DP09/2 on the Global Banking Crisis

  

• 15/06/2009 - Response to FSA Consultation CP09/12: Quarterly Consultation

  Response to FSA Consultation CP09/12: Quarterly Consultation

  

• 15/06/2009 - Comments on Call for Evidence on Market Abuse Directive 2003/6/EC

  Comments on Call for Evidence on Market Abuse Directive 2003/6/EC

  

• 18/05/2009 - Response to FSA Paper 09/10 Reforming Remuneration Practices in Financial

  Response to FSA Paper 09/10 Reforming Remuneration Practices in Financial Services

  

• 13/05/2009 - Response to FSA Discussion Paper 09/1 -

  Response to FSA Discussion Paper 09/1 - "Short Selling"

  

• 07/04/2009 - FSA Consultation Paper CP08/24: Stress and Scenario Testing

  FSA Consultation Paper CP08/24: Stress and Scenario Testing (the Consultation Paper)

  

• 02/04/2009 - Response to CP08/25 – The Approved Persons regime: significant influence

  Response to CP08/25 – The Approved Persons regime: significant influence function review

  

• 16/03/2009 - Response to CP08/23 Financial Stability and Depositor Protection: FSA

  Response to CP08/23 Financial Stability and Depositor Protection: FSA Responsibilities

  

• 16/03/2009 - Response to CP 08/22 Strengthening Liquidity Standards

  Response to CP 08/22 Strengthening Liquidity Standards

  

• 09/03/2009 - Response to Consultation on the Legislative Framework for the Regulation

  Response to Consultation on the Legislative Framework for the Regulation of Alternative Finance Investment Bonds (sukuk)

  

• 25/02/2009 - Response to CP 08/19 (

  Response to CP 08/19 ("Regulating retail banking conduct of business")

  

• 17/02/2009 - Consultation on EU proposals for a consumer rights directive

  Consultation on EU proposals for a consumer rights directive

  

• 03/02/2009 - Response to EU Commission Consultation on Hedge Funds

  Response to EU Commission Consultation on Hedge Funds

  

• 12/01/2009 - Response to Consultation on Market Abuse Directive Level 3

  Response to Consultation on Market Abuse Directive Level 3

  

• 16/12/2008 - Response to the Consultation Document on the Implementation of the Acquisition

  Response to the Consultation Document on the Implementation of the Acquisition Directive

  

• 16/12/2008 - Response to Second Consultation on Financial Services and Markets Act 2000

  Response to Second Consultation on Financial Services and Markets Act 2000 (Financial Promotion) (Amendment) Order 2008

  

• 05/11/2008 - Response to Consultation on Building Societies (Funding) and Mutual Societies

  Response to Consultation on Building Societies (Funding) and Mutual Societies (Transfers) Act 2007

  

• 23/10/2008 - Regulatory Committee - Proposed Business Plan 2008/9

  Regulatory Committee - Proposed Business Plan 2008/9

  

• 23/10/2008 - Modernising the insolvency protections for the operation of financial markets

  Modernising the insolvency protections for the operation of financial markets - proposals to reform Part VII Companies Act 1989

  

• 20/10/2008 - Response to Consultation Paper 08/10 and DP 08/3

  Response to Consultation Paper 08/10 and DP 08/3

  

• 13/10/2008 - Financial Stability and Depositor Protection - Special Resolution Regime

  Financial Stability and Depositor Protection - Special Resolution Regime

  

• 09/09/2008 - Response to FSA Consultation on Decision Procedure, Penalties Manual

  Response to FSA Consultation on Decision Procedure, Penalties Manual and Enforcement Guide Review 2008 and Transparency as a Regulatory Tool

  

• 10/07/2008 - Response to FSA CP08/6 - Review of Client Asset Sourcebook

  Response to FSA CP08/6 - Review of Client Asset Sourcebook

  

• 10/07/2008 - Response to FSA Consultation DP8/02 - Transparency, Disclosure and Conflict

  Response to FSA Consultation DP8/02 - Transparency, Disclosure and Conflict of Interest in the Commercial Insurance Market

  

• 14/04/2008 - Response to consultation on Obligations to Report Money Laundering - The Consent

  Response to consultation on Obligations to Report Money Laundering - The Consent Regime

  

• 13/03/2008 - Review of the Financial Regulatory Framework for Commodity and Exotic Derivative

  Review of the Financial Regulatory Framework for Commodity and Exotic Derivatives

  

• 19/02/2008 - Letter to FSA regarding MiFID Implementation: Financial Promotions

  Letter to FSA regarding MiFID Implementation: Financial Promotions

  

• 16/01/2008 - Comments on Proposal 66 of Review of Land Registration Rules 2003

  Comments on Proposal 66 of Review of Land Registration Rules 2003

  

• 05/12/2007 - MiFID Implementations PS 07/18 Financial Promotions - Questions & Answers

  MiFID Implementations PS 07/18 Financial Promotions - Questions & Answers

  

• 25/10/2007 - Response to Consultation Paper 07/9 on Conduct of Business Regime: Non MiFID

  Response to Consultation Paper 07/9 on Conduct of Business Regime: Non MiFID Deferred Matters

  

• 25/10/2007 - Response to CESR's Consultation on Inducements Under MiFID

  Response to CESR's Consultation on Inducements Under MiFID

  

• 19/10/2007 - Response to consultation on Suspicious Activity Reports - prescribed format

  Response to consultation on Suspicious Activity Reports - prescribed format

  

• 11/10/2007 - Draft Practice Note on Money Laundering

  Draft Practice Note on Money Laundering

  

• 12/09/2007 - Response to consultation on amendments to the CIS Border for Property

  Response to consultation on amendments to the CIS Border for Property Transactions