CP17/6: Quarterly Consultation Paper No. 16

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.

CP17/6: Quarterly Consultation Paper No. 16 (PDF)

What we are consulting on

We are proposing to make changes to:

  • DEPP and EG reflecting the FCA’s powers following the Bank Recovery and Resolution Order 2016
  • the Market Conduct sourcebook (MAR) relating to ESMA’s guidelines on commodity derivatives
  • SUP and EG arising from the extended Immigration Act 2014 (as amended by the Immigration Act 2016)
  • PR 1.2.3R in anticipation of the Prospectus Regulation coming into force and minor amendments to LR Appendix 1, PR Appendix 1 and the Glossary
  • REC 3.9 and MAR 5.6, and minor amendments to REC 2.3
  • COBS and MCOB to improve firms’ communication with consumers
  • our regulatory reporting requirements
Due to an oversight, the change described in chapter 8, paragraph 8.7 and question 8.4 of this consultation paper was not included in the draft instrument text contained in Appendix 8. The change proposes that the guidance contained in SUP 16 Annex 18B is altered to state that the two options for question 17 in the RMAR section G were ‘Yes’ and ‘No’ rather than ‘Y’ and ‘N’. We encourage firms to respond to this consultation on the premise that it was intended for this proposed change to be included in appendix 8 and invite any comments on this basis.

What you need to do

We want to know what you think of our proposals. Comments should reach us by 3 April 2017 for Chapter 5 Q1, and 3 May 2017 for Chapters 2, 3, 4, 5 (Q2 and Q3) 6, 7 and 8 (see the Overview section of the QCP for more details).

Online response form CP17/6

You can also:

For more information see the FCA Handbook.

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