Archive of Responses to FSA consultations and papers

2003

CP 194: Amendments to the Training and Competence Sourcebook 
-Cover Letter  (November 2003) 
-IMA Response  (November 2003)  

CP 176: Bundled Brokerage and Soft Commission Arrangements
- Final Response October 2003
- IMA Responses to the specific questions raised in CP 176 October 2003

CP 183: Standardising Past Performance
- Final Response Response  (September 2003)

CP 173: Consolidated Supervision
- Final Letter  (June 2003)
- Final Response  (June 2003)

CP 171"Investment Research:  Conflicts of Interest"
- Final Response  (May 2003)

CP 169: Professional Indemnity Insurance for Personal Investment Firms
- Final Response  (April 2003)

CP 168: Fees 2003/2204
- Final Response  (April 2003)

CP 163  “The UCITS Management Directive”
-  IMA Response  (April 2003)

Discussion Paper 21: Implementation of the Distance Marketing Directive
-  IMA Response  (April 2003)

CP 164  "Regulation of Investment Companies (Investment Trusts)"
-  IMA Response  (April 2003)

CP 170: Informing consumers: product disclosure at the point of sale
- Final Response (April 2003)

CP 166 "Reforming Polarisation - Removing the Barriers to Choice"
- Final Response (April 2003)
 
Discussion Paper 19: Options for Regulating the Sale of  "Simplified Investment Products"
-  IMA Response (April 2003)

Financial Capability
-  IMA Response (March 2003)

CP 157: Examination Framework for Retail Financial Services
- Final  Letter  (March 2003)
- Final Response  (March 2003)
- Appendix 1  (March 2003)
- Appendix 2  (March 2003)
- Appendix 3  (March 2003)
- Appendix 4  (March 2003)

CP 135: Limited Issue and Guaranteed/Capital Protected Funds
-  Limited Issue Funds Response  (January 2003)
-  Guaranteed/ Capital Protected Funds Response  (January 2003)

CP 153  "Alternative Trading Systems"
-  IMA Response  (January 2003)
 
Discussion Paper 17  "Short Selling"
-  IMA Response  (January 2003)

CP 154: Best Execution
-  IMA Final Letter  (January 2003)
-  IMA Final Response  (January 2003)