CP07/9: Conduct of Business regime: non-MiFID deferred matters
The FSA's Consultation paper 07/9 is entitled 'Conduct of Business regime: non-MiFID deferred matters'. It was published in May 2007 and the period for consultation responses closes on 3 August 2007.
Introductory documents
Newsletter [ PDF | 110KB | 4 pages ]
Consultation paper
CP07/9: [ PDF | 748KB | 202 pages ]
Conduct of Business regime: non-MiFID deferred matters (including proposals on Telephone Recording)
Addendum to CP 07/9 [ PDF | 197KB | 8 pages ]
Response
PS07/18: (October 2007)
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
PS08/1: (March 2008)
Telephone Recording: recording of voice conversations and electronic communications
Other relevant information
CP07/16 (July 2007)
Consquential Handbook Amendments (arising from implementation of MiFID and creation of NEWCOB)
CP06/19: (October 2006)
Reforming Conduct of Business Regulation
CP06/20: (October 2006)
Financial promotion and other communications - Including draft Handbook text for NEWCOB 4 and 5