Contents > FSA Discussion Papers
Page last published: 1 July 2010

Discussion Papers:

Date	No.	Topic
March 2010	10/3	Enhancing the auditor’s contribution to prudential regulation
March 2010	10/2	Platforms: delivering the RDR and other issues for discussion
March 2010	10/1	Consumer complaints (emerging risks and mass claims)
October 2009	09/5	Enhancing financial reporting disclosures by UK credit institutions
October 2009	09/4	Turner Review Conference Discussion Paper
October 2009	09/3	Mortgage Market Review
March 2009	09/2	A regulatory response to the global banking crisis
February 2009	09/1	Short selling
December 2008	08/5	Consumer responsiblity
September 2008	08/4	Insurance Risk Management: The Path To Solvency II
May 2008	08/3	Transparency as a Regulatory Tool
April 2008		Enhancing group supervision under Solvency II - A joint consultation by HM Treasury and the FSA
March 2008	08/2	Transparency, disclosure and conflicts of interest in the commercial insurance market
January 2008	08/1	A review of the Structure of the Listing Regime
December 2007	07/7	Review of the liquidity requirements for banks and Building societies
December 2007	07/6	Definition of Capital
December 2007		UK Discussion Paper on the Commission’s review of the financial regulatory framework for commodity and exotic derivatives - A joint consultation by HM Treasury and the FSA
September 2007	07/5	Review of the interaction of our solo and group capital requirements – Our findings
October 2007		Banking reform - protecting depositors: a discussion paper - A joint consultation by HM Treasury, the Bank of England, and the FSA
July 2007	07/4	Review of the Prudential Rules for Personal Investment Firms
July 2007	07/3	Trading of MTF shares: impact of proposed stamp duty changes
June 2007	07/2	Platforms: the role of wraps and fund supermarkets
June 2007	07/1	A Review of Retail Distribution
November 2006	06/6	Private equity: a discussion of risk and regulatory engagement
November 2006	06/5	FSA confirmation of Industry Guidance
September 2006	06/4	The responsibilities of providers and distributors for the fair treatment of customers
May 2006	06/3	Implementing MiFID’s best execution requirements
April 2006	06/2	Financial Ombudsman Service compulsory jurisdiction: funding review
March 2006	06/1	FSCS funding review
September 2005	05/5	Trading transparency in the UK secondary bond markets
June 2005	05/4	Hedge Funds: A Discussion of Risks and Regulatory Engagement
June 2005	05/3	Wider range retail investment products: Consumer Protection in a Rapidly Changing World
May 2005	05/2	Stress Testing
February 2005	05/1	Integrated Regulatory Reporting (IRR) for: Deposit takers, principal position takers, and other investment firms subject to the Capital Requirements Directive
July 2004	04/1	Projections review - The case for change
December 2003	26	Developing our policy on fraud and dishonesty
December 2003	25	Development of transaction monitoring systems
October 2003	24	Liquidity risk in the Integrated Prudential sourcebook: a quantitative framework
October 2003	23	The FSA's approach to implementing the Freedom of Information Act 2000
August 2003	22	Reducing money laundering risk: Know Your Customer and anti-money laundering monitoring
March 2003	21	Implementation of the Distance Marketing Directive
February 2003	20	Issues for with-profits business arising from the Sandler Review
January 2003	19	Options for regulating the sale of "simplified investment products"
October 2002	18	An ethical framework for financial services
October 2002	17	Short selling
August 2002	16	Hedge funds and the FSA
July 2002	15	Investment research: Conflicts & other issues
July 2002	14	Review of the listing regime
July 2002	13	UK implementation of the new Basel and EU capital adequacy standards
May 2002	12	The new regulatory reporting environment
May 2002	11	Cross-Sector Risk Transfers
December 2001	10	Split Capital Closed End Funds
November 2001	9	Examination Review
October 2001	8	Single pricing of collective investment schemes: a review
July 2001	7	Treating customers fairly after the point of sale
June 2001	6	The FSA’s approach to the regulation of e-commerce
April 2001	5	Best Execution
November 2000	4	Informing Consumers: a review of product information at the point of sale
May 2000	3	The FSA's approach to the regulation of the conduct of stakeholder pensions business
January 2000	2	The FSA’s approach to regulation of the market infrastructure
June 1999		Response Paper on Consultation Paper 16: The Future Regulation of Lloyd's
June 1999		Response Paper to Comments on Discussion Paper: The Future Regulation of Inter-Professional Business
October 1998	1	Differentiated regulatory approaches: future regulation of inter-professional business
July 1994		Implementation of the Investment Services Directive and Capital
February 1994		Regulation of the United Kingdom Equity Markets
October 1993		Financing Investors' Compensation
October 1993		Regulated Collective Investment Schemes: Key Policy Issues
August 1993		Custody Review
October 1991		Retail Regulation Review Discussion Paper 3: Disclosure
September 1991		Retail Regulation Review Discussion Paper 2: Polarisation
June 1991		Retail Regulation Review Discussion Paper 1: Financing the Compensation Liabilities of FIMBRA Members
February 1989		Soft Commission Arrangements in the Securities Market

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Financial Services Authority
Discussion Papers