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

About 109 results.

  1. GC17/4: Financial Advice Market Review (FAMR): implementation part I [pdf]

    Guidance consultations Published: 11/04/2017
    We are consulting on guidance intended to clarify the regulatory framework.
  2. GC17/4: Financial Advice Market Review (FAMR): implementation part I

    Guidance consultations Published: 06/04/2017 Last modified: 11/04/2017
    We are consulting on guidance intended to clarify the regulatory framework. The guidance relates specifically to 4 of the recommendations made by the Financial Advice Market Review (FAMR) in its final report.
  3. Guidance Consultation - UKLA Procedural Note 911.1 - Substitution of issuer of debt securities [PDF] [pdf]

    Guidance consultations Published: 30/03/2017 Last modified: 30/03/2017
  4. Guidance Consultation - UKLA Technical Note 543.3 - Shareholder obligations [PDF] [pdf]

    Guidance consultations Published: 29/03/2017
  5. Guidance Consultation - UKLA Technical Note 701.3 - Identifying and managing conflicts [PDF] [pdf]

    Guidance consultations Published: 29/03/2017
  6. GC17/2: Treatment of politically exposed persons (PEPs) under the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 [pdf]

    Guidance consultations Published: 16/03/2017
    We are consulting on new guidance for how financial services firms should treat customers who are politically exposed persons when meeting their anti-money laundering obligations.
  7. GC17/2: Treatment of politically exposed persons (PEPs) under the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

    Guidance consultations Published: 16/03/2017 Last modified: 19/04/2017
    We are consulting on new guidance for how financial services firms should treat customers who are politically exposed persons (PEPs) when meeting their anti-money laundering obligations.
  8. GC17/1: Changes to the way firms calculate redress for unsuitable defined benefit pension transfers [pdf]

    Guidance consultations Published: 10/03/2017
    We are consulting on updating the methodology used to calculate the levels of redress due in cases of unsuitable advice on transfers from defined benefit pension schemes to personal pensions.
  9. GC17/1: Changes to the way firms calculate redress for unsuitable defined benefit pension transfers

    Guidance consultations Published: 10/03/2017 Last modified: 10/03/2017
    We are consulting on updating the methodology used to calculate the levels of redress due in cases of unsuitable advice on transfers from defined benefit pension schemes to personal pensions.
  10. GC 16/8: Amendments to Guidance on loan to income ratios in mortgage lending [pdf]

    Guidance consultations Published: 30/11/2016