CP06/19: Reforming Conduct of Business Regulation
See also
The FSA's Consultation paper CP06/19 is entitled 'Reforming Conduct of Business Regulation' and includes proposals for implementing relevant provisions of the Markets in Financial Instruments Directive, and related changes to SYSC, DISP, TC, SUP and other Handbook modules. It was published in October 2006. Comments on the MiFID transposition elements of this consultation should reach us by 28 November 2006. Comments on other elements of this consultation should reach us by 23 February 2007.
Introductory documents
Newsletter [ PDF | 51KB | 4 pages ]
Press release:
FSA publishes radical proposals for move to principles-based regulation
Consultation paper
CP06/19: [ PDF | 900KB | 350 pages ]
Reforming Conduct of Business Regulation - Including proposals for implementing relevant provisions of the Markets in Financial Instruments Directive, and related changes to SYSC, DISP, TC, SUP and other Handbook modules.
Annex 6 [ PDF | 1.42 MB | 401 pages]
Draft Handbook text
Addendum to CP 06/19 Reforming Conduct of Business Regulation [ PDF | 187KB | 8 pages ]
This addendum provides supplementary draft Handbook text to the material published in Annex 6 of CP 06/19 Reforming Conduct of Business Regulation relating to:
- Cancellation
- Open market options, and
- Consumer credit products
Addendum A to CP 06/19 Reforming Conduct of Business Regulation [ PDF | 150 KB | 8 pages ]
The defined terms in this addendum are to be added to the original version of Annex 6.
Response
PS07/15
Best execution - Feedback on DP06/3 and CP06/19 (part) (August 2007)
PS07/14
Reforming Conduct of Business Regulation - Final feedback on CP06/19 (July 2007)
PS07/9
Treating Complainants Fairly - Feedback on CP06/19 (part) and made rules (July 2007)
PS07/06
Reforming Conduct of Business Regulation - Feedback on CP06/19 and CP06/20 (May 2007)
PS07/02
Implementing the Markets in Financial Instruments Directive (MiFID) - Feedback on CP06/14, CP06/19 and CP06/20 (January 2007)
Transposition Tables
MiFID transposition tables for the Level 1 and Level 2 directives are available on the Treasury website.
Other relevant information
CP07/16
Consquential Handbook Amendments (arising from implementation of MiFID and creation of NEWCOB) - July 2007
CP07/9
CP07/9: Conduct of Business regime: non-MiFID deferred matters - May 2007
CP07/4
The Training and Competence Sourcebook Review - February 2007
CP06/20:
Financial promotion and other communications - Including draft Handbook text for NEWCOB 4 and 5 - October 2006
CP06/14:
Implementing MiFID for Firms and Markets - July 2006
CP06/09:
Organisational systems and controls - Common platform for firms - May 2006
DP06/3:
Implementing MiFID's best execution requirements - May 2006
CP05/10:
Reviewing the FSA Handbook - July 2005
Implementation Plan for MiFID Update [PDF] - October 2006
Implementing MiFID’s Client Categorisation requirements [PDF] - August 2006