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Find and participate in FCA consultations – this section lists our currently open consultations.

About 42 results.

  1. Review of the Effectiveness of Primary Markets: The UK Primary Markets Landscape: DP17/2 [pdf]

    Discussion papers Published: 14/02/2017
  2. Illiquid assets and open-ended investment funds: DP17/1 [pdf]

    Discussion papers Published: 08/02/2017
  3. Illiquid assets and open-ended investment funds: DP17/1

    Discussion papers Published: 08/02/2017 Last modified: 08/02/2017
    We are launching a discussion about some of the risks created when consumers use open-ended funds to gain exposure to assets that may be difficult for the fund manager to buy, sell or value quickly. In this paper we refer to these assets as ‘illiquid assets’: they may include land and buildings, infrastructure, and financial assets such as...
  4. Overall responsibility and the legal function: DP16/4 [pdf]

    Discussion papers Published: 03/10/2016
    We are launching a discussion to clarify how and why the legal function is currently captured under the Senior Managers and Certification Regime (SM&CR) and to consider whether it should continue to be part of the regime.
  5. Overall responsibility and the legal function: DP16/4

    Discussion papers Published: 28/09/2016 Last modified: 10/01/2017
    We are launching a discussion to clarify how and why the legal function is currently captured under the Senior Managers and Certification Regime (SM&CR) and to consider whether it should continue to be part of the regime.
  6. DP16/3: Availability of information in the UK Equity IPO process [pdf]

    Discussion papers Published: 13/04/2016 Last modified: 13/04/2016
  7. DP16/3: Availability of information in the UK Equity IPO process

    Discussion papers Published: 13/04/2016 Last modified: 13/04/2016
    In this paper we consider three potential models for reform of the UK IPO process. DP16/3: Availability of information in the UK Equity IPO process (PDF) Why we are seeking views on the IPO process As part of our market study into investment and corporate banking we examined the availability of information during the UK IPO process. The evidence...
  8. DP16/2: CASS 7A and the Special Administration Regime Review [pdf]

    Discussion papers Published: 09/03/2016 Last modified: 09/03/2016
    This discussion paper seeks feedback on a number of aspects of the client assets regime, in particular regarding the client money distribution rules (CASS 7A) and their interaction with the Special Administration Regime (SAR).
  9. DP16/2: CASS 7A and the Special Administration Regime Review

    Discussion papers Published: 09/03/2016 Last modified: 09/11/2016
    This discussion paper seeks feedback on a number of aspects of the client assets regime, in particular regarding the client money distribution rules (CASS 7A) and their interaction with the Special Administration Regime (SAR). Why we are seeking views on the client assets regime If an investment firm holding client assets fails, its client estate...
  10. DP16/1: Ageing population and financial services [pdf]

    Discussion papers Published: 22/02/2016 Last modified: 22/02/2016