Being Regulated

 

This page contains useful links and other relevant information on the Conduct of Business Sourcebook.

 
Speeches
Date Speaker Title
6 May 2008 Andrew Sykes Key features documents seminar
9 Jan 2008 Dan Waters

MiFID - Threats and Opportunities
28 Nov 2007 Tony Katz

Financial Promotions and More Principles-Based Regulation - Freedom and Responsibility
8 Nov 2007 Clive Briault

Regulatory challenges in a principles-based environment
19 June 2007 Andrew Sykes

NEWCOB: The practical implications
21 March 2007 John Tiner Principles-based regulation - looking to the future

12 February 2007

 Dan Waters

NEWCOB and more principles-based regulation
Documents
Date Type Title
August 2008 Policy Statement PS08/7: Simplifying Disclosure: Information about services and costs
February 2008 Consultation paper CP08/3: Simplifying Disclosure: Information about services and costs
October 2007 Policy statement PS07/18: Conduct of Business regime
September 2007 FSA paper Good and poor practices in Key Features Documents [PDF]
September 2007 FSA paper Statement of FSA Supervisory Priorities arising from November Handbook changes
September 2007 Policy statement PS07/16: FSA confirmation of Industry Guidance - Feedback on DP06/5
July 2007 Policy statement PS07/14: Reforming COB regulation - Final feedback on CP06/19
July 2007 Consultation paper CP07/16: Consequential Handbook Amendments (arising from implementation of MiFID and creation of NEWCOB)
May 2007 Consultation paper CP07/9: Conduct of Business regime: non-MiFID deferred matters
May 2007 Policy statement PS07/6: Reforming COB regulation - Feedback on CP06/19 and CP06/20
April 2007 FSA Paper Principles-based regulation - Focusing on the outcomes that matter [PDF]
January 2007 Policy statement PS07/2: Implementing MiFID - Feedback on CP06/14, CP06/19 and CP06/20