Financial Services Authority

176 published titles

Market abuse

(Contributor)

1 edition

Designing the FSA handbook of rules and regulations

1 edition

Differentiated regulatory approaches : future regulation of inter-professional business

1 edition

Money laundering : the FSA's new role : policy statement on consultations and decisions on rules

1 edition

Guidance to applicants : designated systems under the Financial Markets and Insovency (Settlement Finality) Regulations 1999

(Contributor)

1 edition

The economic rationale for financial regulation

(Contributor)

1 edition

The rationale for a single national financial services regulator

(Contributor)

1 edition

FSA guide to repaying your mortgage

(Contributor)

1 edition

FSA guide to making a complaint

(Contributor)

1 edition

Directory of consumer information and enquiry services in personal finance

(Contributor)

1 edition

Taflen ffeithiau camwerthu pensiynau personol : y ffeithiau

(Contributor)

1 edition

Mortgage regulation : the FSA's high level approach

2 editions

Stakeholder pensions and decision trees

(Contributor)

1 edition

Money counts : developing financial capability in the primary school

(Contributor)

1 edition

Market abuse : a draft code of market conduct

(Contributor)

1 edition

A more market based approach to maintaining systematic stability

(Contributor)

1 edition

Good practice guide for community involvement

(Contributor)

1 edition

Disclosure : trading an endowment policy and buying a pension annuity

1 edition

Wholesale-only deposit-takers : feedback on CP88 and made text

1 edition

Dispute resolution : the complaints sourcebook

(Contributor)

1 edition

Grandfathering concessions and individual guidance

(Contributor)

2 editions

Whistleblowing, the FSA & the financial services industry

(Contributor)

1 edition

Colossal cards : teachers' guide

(Contributor)

1 edition

Mae arian yn cyfrif : datblygu gallu ariannol yn yr ysgol gynradd

1 edition

Wholesale-only deposit-takers : newsletter

1 edition

Wholesale-only deposit-takers

1 edition

Whistleblowing, the FSA and the financial services industry : feedback on CP101 and made text : April 2002

(Contributor)

1 edition

A practitioner's guide to the FSA regulation of investment banking

(Contributor)

1 edition

Mortgage endowment complaints : changes to time limits for making a complaint

(Contributor)

1 edition

Consultation on the general levy and supplementary levy for funding the Financial Ombudsman Service 2002/03

(Contributor)

1 edition

Disclosure of status under the Financial Services and Markets Act 2000 and use of the FSA logo

1 edition

Miscellaneous amendments to the handbook (No.1)

1 edition

Disclosure : trading an endowment policy and buying a pension annuity : feedback on CP106

1 edition

Miscellaneous amendments to the handbook (No.2)

1 edition

Mortgage tables : an update

(Contributor)

1 edition

Miscellaneous amendments to the handbook (No.3)

1 edition

Miscellaneous amendments to the handbook (No.4)

1 edition

A practitioner's guide to the FSA regulation of banking

(Contributor)

1 edition

Reforming polarisation : making the market work for consumers

(Contributor)

1 edition

Stakeholder pensions : maintaining decision trees

(Contributor)

1 edition

Financial services compensation scheme management expenses levy limit : period: 1 April 2002 to 31st March 2003

(Contributor)

1 edition

Colossal cards : for adult learners : tutors' guide

(Contributor)

1 edition

Market abuse : pre-hedging convertible and exchangeable bond issues : feedback on CP149 and made text

(Contributor)

1 edition

Mortgage regulation : draft conduct of business rules and feedback on CP146

(Contributor)

1 edition

Miscellaneous amendments to the handbook (No.6)

1 edition

Mortgage endowment complaints : changes to time limits for making a complaint : feedback on CP158 and made text

(Contributor)

1 edition

With-profits governance, the role of actuaries in life insurers : feedback on CP167, made and near-final text

(Contributor)

1 edition

A practitioner's guide to the FSA handbook

(Contributor)

2 editions

Adult financial capability framework

(Contributor)

1 edition

Supervising insurance groups under Solvency II : a discussion paper

(Contributor)

1 edition

Make the most of your money

(Contributor)

1 edition

FSCS funding review - tariff changes : consultation paper

(Contributor)

1 edition

Financial Services decisions digest : FSA final notices and FSMT decisions

(Contributor)

1 edition

Amendments to the prospectus and listing rules : feedback on CP06/17 and made rules

(Contributor)

1 edition

Treating complainants fairly : feedback on CP06/19 (part) and made rules

(Contributor)

1 edition

External assurance on regulatory returns

(Contributor)

1 edition

The training and competence sourcebook review : feedback on CP07/04 and final rules

(Contributor)

1 edition

Reforming conduct of business regulation : final feedback on CP06/19

(Contributor)

1 edition

Consequential handbook amendments : arising from implementation of MiFID and creation of NEWCOB

(Contributor)

1 edition

Decision procedure and penalties manual and the enforcement guide : feedback on CP07/2 review of the enforcement and decision making manuals

(Contributor)

1 edition

Proposals for a UK recognised covered bonds legislative framework

(Contributor)

1 edition

Best execution : feedback on DP06/3 and CP06/19 (part)

(Contributor)

1 edition

Dispute resolution : the complaints sourcebook : further simplification and minor changes

1 edition

Review of the interaction of our solo and group capital requirements : our findings

(Contributor)

1 edition

UK discussion paper on the commission's review of the financial regulatory framework for commodity and exotic derivatives

(Contributor)

1 edition

Integrated regulatory reporting (IRR) : changes to reporting requirements affecting most firms : feedback to CP07/17

(Contributor)

1 edition

Definition of capital

1 edition

A review of the structure of the listing regime

(Contributor)

1 edition

Sponsor regime : a targeted review

(Contributor)

2 editions

Transparency, disclosure and conflicts of interest in the commercial insurance market

(Contributor)

2 editions

Platforms and more principles-based regulation : feedback on DP07/2

(Contributor)

1 edition

Review of the Client Assets Sourcebook (CASS)

(Contributor)

1 edition

Quarterly consultation. no. 16

1 edition

Review of the liquidity requirements for banks and building societies : feedback on DP07/7

(Contributor)

1 edition

Helping you make the most of your money : a joint action plan for financial capability

(Contributor)

1 edition

Financial Services Compensation Scheme : EEA branches of UK insurers : feedback on CP08/9 and final rules

(Contributor)

1 edition

Definition of capital : feedback on DP07/6

(Contributor)

1 edition

Disclosure of liquidity support

(Contributor)

1 edition

Transparency as a regulatory tool

(Contributor)

1 edition

Retail distribution review : including feedback on DP07/1 and the interim report

(Contributor)

1 edition

Consultation on amendments to the listing rules and feedback on DP08/1 : (a review of the structure of the listing regime)

(Contributor)

1 edition

Strengthening liquidity standards

(Contributor)

1 edition

Making the most of your money : from the Financial Services Authority (FSA), the UK's financial watchdog

(Contributor)

1 edition

Stress and scenario testing

(Contributor)

1 edition

Decision procedure and penalties manual and enforcement guide review 2008 : feedback on CP08/10

1 edition

Decision procedure and penalties manual and enforcement guide review 2008

(Contributor)

1 edition

Temporary short selling measures

(Contributor)

1 edition

Financial services compensation scheme reform. Fast payout for depositors and raising consumer awareness

(Contributor)

1 edition

Rights issue subscription periods

(Contributor)

1 edition

Temporary short selling measures : feedback on CP09/1

1 edition

European Commission consultation on hedge funds : response by HM Treasury and the Financial Services Authority (the UK Authorities)

(Contributor)

1 edition

Short selling

(Contributor)

1 edition

Obtaining and using firm-commissioned reports : a minor amendment to the enforcement guide using a streamlined consultation process

(Contributor)

1 edition

Fees and levy policy and certain regulatory fee and levy rates 2009/10 - : including feedback on CP08/18 and part of CP09/7

(Contributor)

1 edition

The Turner review : a regulatory response to the global banking crisis

(Contributor)

2 editions

A regulatory response to the global banking crisis

(Contributor)

1 edition

Insurance risk management : the path to Solvency II : feedback on DP08/4

(Contributor)

1 edition

Consultation on introducing a protected cell regime for OEICs

(Contributor)

2 editions

Regulating reclaim funds : feedback on CP09/8 and final rules

1 edition

With-profits funds : compensation and redress

1 edition

The approved persons regime : significant influence function review : feedback on CP08/25 and final rules

1 edition

Reforming remuneration practices in financial services : feedback on CP09/10 and final rules

1 edition

Regulating sale and rent back - the full regime

1 edition

The assessment and redress of payment protection insurance complaints

1 edition

Strengthening liquidity standards : including feedback on CP08/22, CO09/13, CP09/14

(Contributor)

1 edition

Listing regime review : policy statement for CP08/21 and further minor consultation

(Contributor)

1 edition

Short selling : feedback on DP09/1

(Contributor)

1 edition

Consumer responsibility : feedback on DP08/5

(Contributor)

1 edition

Enhancing financial reporting disclosures by UK credit institutions

(Contributor)

1 edition

Mortgage market review

(Contributor)

1 edition

Financial Services Compensation Scheme reform. Single customer view : verification

(Contributor)

1 edition

Close links : feedback on CP07/21

(Contributor)

1 edition

Review of the prudential rules for Personal Investment Firms (PIFs) : feedback on CP08/20 and CP09/20 (chapter 11)

(Contributor)

1 edition

Reforming OTC derivative markets : a UK perspective

(Contributor)

1 edition

Capital planning buffers

(Contributor)

1 edition

Reforming remuneration practices in financial services

(Contributor)

1 edition

Strengthening capital standards 3

(Contributor)

1 edition

Delivering the retail distribution review : professionalism ; corporate pensions ; and applicability of RDR proposals to pure protection advice

(Contributor)

1 edition

Distribution of retail investments : delivering the RDR

1 edition

Mortgage market review : arrears and approved persons

(Contributor)

1 edition

Publication of complaints data : including feedback to CP09/21

1 edition

Effective corporate governance : significant influence controlled functions and the Walker review : January 2010

(Contributor)

1 edition

Regulatory fees and levies : rates proposals 2010/11 and feedback statement on part 1 of CP09/26

(Contributor)

1 edition

Listing regime review : feedback on CP09/24 and CP09/28 with final rules

(Contributor)

1 edition

Enforcement financial penalties : feedback on CP09/19

(Contributor)

1 edition

Funds of alternative investment funds (FAIFs) : including feedback on CP08/4

(Contributor)

1 edition

Consumer complaints (emerging risks and mass claims)

1 edition

Taping : removing the mobile phone exemption

(Contributor)

1 edition

Implementing aspects of the Financial Services Act 2010

(Contributor)

1 edition

Enhancing the Client Assets Sourcebook

(Contributor)

1 edition

A specialist sourcebook for building societies : enhanced supervisory guidance on financial and credit risk management : feedback to CP09/17

(Contributor)

1 edition

Platforms : delivering the RDR and other issues for discussion

(Contributor)

1 edition

Regulatory reporting for sale and rent back firms : feedback on CP10/4 and final rules

(Contributor)

1 edition

Mortgage market review : arrears and approved persons : feedback to CP10/2 and final policy

(Contributor)

1 edition

Delivering the RDR : professionalism, including its applicability to pure protection advice, with feedback to CP09/18 and CP09/31

(Contributor)

1 edition

Enhancing the auditor's contribution to prudential regulation

(Contributor)

1 edition

A review of the Credit Union sourcebook (CRED) : feedback on CP09/27 and near final rules

(Contributor)

1 edition

Strengthening capital standards 3 : feedback to CP09/29, final rules for CRD2, and further consultation

(Contributor)

1 edition

Implementing aspects of the Financial Services Act 2010 : feedback on CP10/11, final rules and further consultation

(Contributor)

1 edition

Revising the remuneration code

(Contributor)

1 edition

Mortgage market review : responsible lending

1 edition

The prudential regime for trading activities : a fundamental review

(Contributor)

1 edition

Effective corporate governance : significant influence controlled functions and the Walker Review

(Contributor)

1 edition

Consumer complaints : the ombudsman award limit and changes to complaints-handling rules

(Contributor)

1 edition

Capital planning buffers : feedback on CP/09/30 and final rules

(Contributor)

1 edition

Pure protection sales by retail investment firms : remuneration transparency and the COBS/ICOBS election : feedback on CP10/8 and final rules

(Contributor)

1 edition

Implementation of the second electronic money directive : supplement to HM Treasury's consultation

(Contributor)

1 edition

Implementing CRD3 requirements on the disclosure of remuneration

1 edition

Mortgage market review : distribution & disclosure

(Contributor)

1 edition

Taping of mobile phones : feedback on CP10/7 and final rules

(Contributor)

1 edition

Transposition of UCITS IV : consultation document

(Contributor)

1 edition

Decision procedure and penalties manual and enforcement guide review 2010

1 edition

Delivering the retail distribution review : corporate pensions : feedback to CP09/31 and final rules

1 edition

The client money and asset return (CMAR) : operational implementation

(Contributor)

1 edition

Regulatory fees and levies : rates proposals 2011/12

(Contributor)

1 edition

Tracing employers' liability insurers

(Contributor)

1 edition

Protecting with-profits policyholders

(Contributor)

1 edition

Consumer complaints (emerging risks and mass claims) : feedback on DP10/1

(Contributor)

1 edition

Auditor's client assets report

(Contributor)

1 edition

Use of non-EEA rules in calculating group capital requirements

(Contributor)

1 edition

Auctioning of greenhouse gas emission allowances

(Contributor)

1 edition

Recovery and resolution plans

(Contributor)

1 edition

Transposition of the Solvency II directive (2009/138/EC)

(Contributor)

1 edition

Regulated covered bonds review

(Contributor)

1 edition

Distribution of retail investments : RDR advisor charging and solvency II disclosures

1 edition

Regulating bidding for emissions allowances under Phase Three of the EU Emissions Trading Scheme : feedback to CP12/6

1 edition

The Wheatley review of LIBOR : final report

(Contributor)

1 edition

Regulatory fees and levies : rates proposals 2008/09 and feedback on CP07/19

(Contributor)

1 edition

Simplifying disclosure : information about services and costs

(Contributor)

1 edition

Regulating connected travel insurance

1 edition

Organisational systems and controls - extending the common platform

1 edition

Implememtation of the 8th Company Law Directive

1 edition

Review of the liquidity requirements for banks and building societies

1 edition

No selling, no jargon. : just the facts about making a complaint

1 edition

Transposition of Solvency II

(Contributor)

1 edition

Improved transparency of executive remuneration reporting

(Contributor)

1 edition