About 243 results
The current regulatory disclosure requirements applicable to retail investment firms (including investment fund managers) are detailed in the FCA Handbook. This will change on 31 December 2016 when the Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation takes effect in the European Union.
On 19 January 2016 the Chancellor announced that the Government would introduce legislation to place a new duty on the FCA to cap early exit charges in certain pension contracts. This Consultation Paper sets out our proposals on the application and level of a cap – and the changes to our Handbook rules – that we believe are required to discharge the duty being placed upon us.
We are consulting on proposed changes to the Client Assets sourcebook (CASS) and the Collective Investment Schemes sourcebook (COLL), following the adoption of the Undertakings for Collective Investment in Transferable Securities V Level 2 Regulation (UCITS V Level 2 Regulation). We are also consulting on minor changes to SYSC and consequential amendments in COLL and the Investment Funds sourcebook (FUND) to reflect certain measures in the Securities Financing Transactions Regulation (SFTR).
We are consulting on proposed changes to the Decision Procedure and Penalties Manual and the Enforcement Guide to set out how we will enforce the Market Abuse Regulation.
This Consultation Paper seeks views on our proposed new rules and guidance for the secondary annuity market, which is due to start in April 2017.
In this document the PSR reports on the responses to its consultation paper CP15/44, PSR regulatory fees 2016/17 (December 2015).
This Consultation Paper includes proposed changes to the FCA’s Decision Procedure and Penalties Manual and Enforcement Guide.
This CP covers the proposed 2016/17 regulatory fees and levies for the Financial Conduct Authority, Financial Ombudsman Service and Money Advice Service.
Use this area to find forms, policy and decision-making documents, consultation papers, research and other useful information. Enter your search term, or choose a type, for a list of documents available to view, download or print.
Copyright © 2016 FCA. All Rights Reserved.