CP06/9: Organisational systems and controls - Common platform for firms
The FSA's Consultation paper 06/9 is entitled 'Organisational systems and controls - Common platform for firms'. It was published in May 2006 and the period for consultation responses closes on 19 August 2006.
Introductory documents
Newsletter [ PDF | 112KB | 4 pages ]
Consultation paper
In CP06/9 we said that we would publish a further Annex to the CP covering consequential amendments. We have now decided to consult on some of the consequential amendments relevant to SYSC in our next Quarterly Consultation Paper (due for publication in October 2006). Any other relevant consequential amendments will be consulted on at a later date.
CP06/9: [ PDF | 690KB | 258 pages ]
Organisational systems and controls - Common platform for firms
Response
PS07/05:
Perimeter Guidance relating to MiFID - Feedback on CP06/9 and CP06/14 - March 2007
PS06/13:
Organisational systems and controls - common platform for firms - Feedback on CP06/9 - November 2006
Other relevant information
CP07/23: (December 2007)
Organisational systems and controls - extending the common platform
CP06/20: (October 2006)
Financial promotion and other communications - Including draft Handbook text for NEWCOB 4 and 5
CP06/19: (October 2006)
Reforming Conduct of Business Regulation
CP06/14: (July 2006)
Implementing MiFID for Firms and Markets