March 2008

The Financial Services Authority invites comments on this Consultation Paper. Comments should reach us by 30 June 2008.

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

Alternatively, please send comments in writing to:

Matthew Shaw
Institutional Business Policy
Financial Services Authority
25 The North Colonnade
Canary Wharf
London E14 5HS

Telephone: 020 7066 5066
Fax: 020 7066 5067

E-mail: cp08_06@fsa.gov.uk

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Submission Details









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

 

Chapter 4: Merging the custody rules

 

4.4: Do you agree with the relevant proposals? If not, why not?

 

4.5: Do you agree with the concept of retaining the concessionary regimes? If not, why not?

 

4.5: Do you agree with the manner with which we have updated the concessionary regimes? If not, why not?

 

4.7: Do you agree with this proposal? If not, why not?

 

4.8: Do you agree with this proposal? If not, why not?

 

4.9: Do you agree with our proposals? If not, why not?

 

4.12: Do you agree with our proposals? If not, why not?

 

4.14: Do you agree with our proposal? If not, why not?

 

4.15: Do you agree with our proposal? If not, why not?

 

4.16: Do you agree with our proposal? If not, why not?

 

4.17: Do you agree with our proposal? If not, why not?

 

4.19: Do you agree with our proposals? If not, why not?

 

4.22: Do you agree with our proposals? If not, why not?

Chapter 6: Merging the client money rules

 

6.5: Do you agree with our proposal? If not, why not?

 

6.6: Do you agree with the retention of a concessionary regime for trustee firms?

 

6.6: Do you agree with the manner in which we have updated the specialist regime?

 

6.8: Do you agree with our proposal? If not, why not?

 

6.8: Does your firm make use of the opt-out? If so, could you please explain why you think it should be retained?

 

6.8: Do you foresee any difficulty in removing the opt-out provisions in CASS 4, and making available to all firms the full title transfer collateral arrangements contained in CASS 7?

 

6.10: Do you agree with our proposal? If not, why not?

 

6.13: Do you consider there will be any difficulties in applying the MiFID standard to all firms?

 

6.14: Do you agree with our proposal? If not, why not?

 

6.23: Do you agree with our proposal? If not, why not?

 

6.19: Do you agree with our proposals? If not, why not?

 

6.20: Do you agree with our proposals? If not, why not?

 

6.20: Do you use CASS 7.2.2 R to exempt any transactions other than DVP transactions?

 

6.21: Do you agree with our proposal? If not, why not?

 

6.22: Do you agree with our proposals? If not, why not?

Chapter 7: SUP 3-10 Audit requirements

 

7.2: Do you agree with our proposals? If not, why not?

Chapter 10: Client money - insurance mediation activity

 

10.7: Do you agree with these statements, or have any comments to make on this matter?

 

10.7: Do you agree with these statements, or have any comments to make about this?

 

10.7: Are there any other terms for which plain English guidance and examples would be useful?

 

10.7: Do you have views on that possibility or have any other comments to make in this context?

 

10.7: Do you have views on that possibility or have any other comments to make in this context?

 

10.7: Do you agree with these statements, or have any comments to make in this regard? It would be helpful if industry respondents would please indicate whether their firms follow the British Insurance Brokers’ Association Code of Practice which addresses this issue.

 

10.7: Do you have views on that possibility or have any other comments to make in this context?