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CP16/18: Changes to Handbook disclosure rules to reflect the direct application of PRIIPs Regulation

Published: 18/07/2016   Last Modified : 18/07/2016

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.


CP16/17: Quarterly Consultation No. 13

Published: 04/07/2016   Last Modified : 04/07/2016


CP16/16: Minor Handbook changes related to mortgage borrowers with a payment shortfall

Published: 10/06/2016   Last Modified : 10/06/2016


CP16/15: Capping early exit pension charges

Published: 26/05/2016   Last Modified : 26/05/2016

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.


CP16/14: UCITS V Level 2 Regulation, SFTR and consequential changes to the Handbook

Published: 19/05/2016   Last Modified : 19/05/2016

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).


CP16/13: Changes to the Decision Procedure and Penalties Manual and the Enforcement Guide for the implementation of the Market Abuse Regulation

Published: 22/04/2016   Last Modified : 22/04/2016

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.


CP16/12: Secondary annuity market – proposed rules and guidance

Published: 21/04/2016   Last Modified : 21/04/2016

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.


CP16/11: PSR regulatory fees 2016/17

Published: 15/04/2016   Last Modified : 15/04/2016

In this document the PSR reports on the responses to its consultation paper CP15/44, PSR regulatory fees 2016/17 (December 2015).


CP16/10: Proposed Implementation of the Enforcement Review and the Green Report

Published: 14/04/2016   Last Modified : 14/04/2016

This Consultation Paper includes proposed changes to the FCA’s Decision Procedure and Penalties Manual and Enforcement Guide.


CP16/9: FCA regulated fees: rates proposals 2016/17

Published: 05/04/2016   Last Modified : 05/04/2016

This CP covers the proposed 2016/17 regulatory fees and levies for the Financial Conduct Authority, Financial Ombudsman Service and Money Advice Service.


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