CP19/33: Quarterly Consultation Paper No 26

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. Some of the proposed Brexit changes will only come into effect if the UK leaves the EU on 31 January 2020 without an implementation period.

CP19/33: Quarterly Consultation Paper No 26 (PDF)

What we are consulting on this quarter

We are proposing:

  • clarification of the rules relating to Financial Services Compensation Scheme claims against appointed representatives and principals
  • changes to the Listing Rules’ requirements, which cross-refer to the Prospectus Regulation, for information to be put on display
  • amendments to the Listing Rules to include a requirement mandating the disclosure of rights attached to the securities
  • minor amendments to the Handbook to reflect changes made by the Financial Guidance and Claims Act
  • changes to the Perimeter Guidance Manual (PERG) 15.3 on payment accounts
  • changes to regulatory reporting requirements
  • further Brexit-related changes to Handbook & BTS following extension of Article 50, which will only come into effect if the UK leaves the EU without an implementation period

Who this applies to

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

Next steps

Online response form

We want to know what you think of our proposals. Please use this online form or alternatively email: [email protected]

Comments should reach us by 6 January 2020 for chapters 3, 7 and 8, and 6 February 2020 for chapters 2, 4, 5 and 6.

Further information

For more information please view the FCA Handbook.