Regulatory processes manuals (Authorisation, Supervision, Enforcement and Decision making) and Threshold conditions
This policy statement contains feedback on CP63: The Authorisation manual, CP64: The Supervision manual and CP65: The Enforcement manual and ‘final ’text and Consultation on supplementary notification rules for the Supervision manual.
Introductory documents
Newsletter [ PDF | 73.1 KB | 6 pages ]
Press Release:
Transparency in framework for the FSA’s regulatory processes
Policy statement
Regulatory processes manuals (Authorisation, Supervision, Enforcement and Decision making) and Threshold conditions [ PDF | 729 KB | 154 pages ]
Annex G: Authorisation manual ‘final’ text [ PDF | 1.03 MB | 129 pages ]
Annex H: Supervision manual ‘final’ text [ PDF | 5 MB | 468 pages ]
Annex I: Enforcement manual ‘final’ text [ PDF | 2.13 MB | 312 pages ]
Annex J: Decision making manual ‘final ’text [ PDF | 584 KB | 66 pages ]
Annex K: Definitions [ PDF | 643 KB | 186 pages ]
Other relevant information
CP179:
The Authorisation manual - Draft perimeter guidance on activities related to pension schemes
CP104:
The Authorisation manual - Supplementary consultation on Certifications, Financial Promotion and related activities, and Open-ended Investment Companies
CP150:
The Authorisation manual - Consultation on Draft Guidance on the identification of contracts of insurance
CP65:
The Enforcement manual
CP64:
The Supervision manual
CP63:
The Authorisation manual