|
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
|