January 2008

The Financial Services Authority invites comments on this Consultation Paper. Comments should reach us by 4 February 2008.

You can send your response by electronic submission using the following form or by emailing us at the address shown.

If you wish to respond by letter, please send your comments to the person named at the end of each chapter and set out below:

Chapter 2: Nick Cook - Telephone: 020 7066 1760 or Fax: 020 7066 1761
Chapter 3: John Norris - Telephone: 020 7066 4208 or Fax: 020 7676 5143
Chapter 4: Jonathan Cartledge - Telephone: 020 7066 7324 or Fax: 020 7066 7325
Chapter 5: Jonathan Cartledge - Telephone: 020 7066 7324 or Fax: 020 7066 7325
Chapter 6: Faridah Pullara - Telephone: 020 7066 1032 or Fax: 020 7066 1033
Chapter 7: Sally Rigg - Telephone: 020 7066 5756 or Fax: 020 7066 5757 or
                  Mark Glibbery - Telephone: 020 7066 0594 or Fax: 020 7066 0595
Chapter 8: Criostóir O´Muirithe - Telephone: 020 7066 2614 or Fax: 020 7066 2615

If you are responding in writing to several chapters, please send your comments to Anthony Clarke in Strategy and Risk Division, who will pass your response on as appropriate.

All responses to the above people should be sent to:

Financial Services Authority
25 The North Colonnade
Canary Wharf
London E14 5HS

E-mail: cp08_01@fsa.gov.uk

It is the FSA's policy to make all responses to formal consultation available for public inspection unless the respondent requests otherwise

Note: You can take a printout of your response before clicking the 'Submit to FSA' button at the end of the form, but this will only print the visible text on screen, and you may have given longer answers. After submitting your response, the form will clear, but when we acknowledge receipt of your response by email, we can return to you a copy of your full submission as received. Check this box if you would like to have a copy of your submission returned:

Submission Details









as an individual
as a representative of an authorised firm
as a representative of a professional firm
other (please specify):

 

Chapter 3

 

Do you support our proposed approach?

 

Chapter 4

 

Do you agree with our proposal to allow firms to submit information relevant to the assessment of a candidate's fitness and propriety in a format other than Form D?

 

Chapter 5

 

Do you agree with our proposal to disapply CF9 and CF10 for incoming EEA firms?

 

Do you agree with our proposal to withdraw registrations for CF9 and CF10 automatically?

 

Chapter 6

 

Are there any particular issues firms believe they will face in providing these maturity data to the frequency and timescales proposed?

 

Chapter 7

 

Do you agree with our proposals for permitting the use of electronic signatures? In particular, is industry guidance the most proportionate way of addressing the ‘reasonable steps’ requirement?

 

Do you agree with our proposals to allow settlement of transactions in units of authorised funds through CREST?

 

Are there any other changes to our rules and guidance which you consider necessary to enable the smooth functioning of paperless settlement?

 

Do you agree with the proposed amendment to the Glossary definition of ‘income property’?

 

Chapter 8

 

Do you agree with our proposal to require investment entities listing depositary receipts to comply with the appropriate super-equivalent listing regime?