CP15/42: Quarterly Consultation Paper No. 11

Once a quarter, we consult on proposed miscellaneous amendments to our Handbook. These tend to be minor changes but we still want to get your feedback on our proposals.

What are we consulting on this quarter?

We are proposing to:

  • make certain consequential changes to rules and guidance relating to controllers
  • make consequential changes to various RDR forms as a result of the Senior Managers’ Regime
  • add text to EG 7 to reflect the FCA’s ability to apply to the Court under section 89NA for a voting rights suspension order
  • make consequential changes to the Handbook for Solvency II and non-Directive firms
  • make changes to the Supervision manual (SUP) to amend the reporting requirement and submission methods for some regulated firms
  • make changes to the Training and Competence sourcebook (TC) list of appropriate qualifications
  • make amendments to our Consumer Credit sourcebook (CONC), the Perimeter Guidance manual (PERG) and the Glossary of terms
  • make changes to address the impact on LR (Listing Rules) of changes to PR (Prospectus Rules) proposed in CP15/28
  • make clarifications on CRDIV Pillar 2 and financial conglomerates

CP15/42: Quarterly Consultation Paper No. 11 [PDF]

An addendum to this consultation paper was published on 17 December 2015:

Addendum to CP15/42: Quarterly Consultation Paper No. 11 [PDF]

Who is this consultation aimed at?

This will be relevant if you or your firm has any interest in the subjects mentioned above.

What are the next steps?

Online form

We want to know what you think of our proposals. Comments should reach us by 4 January 2016 for Chapters 7 and 9, and 18 February 2016 for Chapters 2, 3, 4, 5, 6, 8 and 10 (see the Overview section in the QCP for further details).

Want to find out more?

For more information: