PS07/18: Conduct of Business regime
This Policy Statement reports on the main issues arising from CP07/9 'Conduct of Business regime – non-MiFID deferred matters', CP07/16 'Consequential Handbook Amendments' and 'MiFID Permissions & Notifications Guide'.
Introductory documents
Newsletter [ PDF | 46 KB | 4 pages ]
Policy Statement
PS07/18: [ PDF | 1.5 MB | 306 pages ]
Conduct of Business regime - Including feedback on CP07/9: Conduct of Business regime – non-MiFID deferred matters; CP07/16: Consequential Handbook Amendments and MiFID Permissions & Notifications Guide
Other relevant information
Effectiveness of the rules on charges disclosure for SIPPs (June 2008)
CP07/09: (May 2007)
Conduct of Business regime: non-MiFID deferred matters (including proposals for Telephone Recording)
PS08/1: (March 2008)
Telephone Recording: recording of voice conversations and electronic communications
CP07/16: (July 2007)
Consequential Handbook Amendments
MiFID Permissions and notifications guide [PDF]