Financial Services and Markets Appendices to the Minutes of Evidence


Forthcoming consultation and other papers

SubjectType of paper Planned time of publication

High-level standards
Principles for businesses (Consultation Paper 13) Feedback statementQ2 1999
Principles and Code of Practice for approved persons Consultation paperQ2 1999
Senior management responsibilities and high-level systems and controls Consultation paperQ2 1999
Qualifying conditions for authorisation Consultation paperQ1 1999
Scope of approved persons regime: fitness and propriety and suitability of individuals Consultation paperQ2 1999
PermissionsConsultation paper Q2 1999
Grandfathering of firms and individuals Policy statementQ4 1999
Authorisation manualConsultation paper Q4 1999
Collective Investment Schemes sourcebook Consultation paperQ1 2000
Prudential standards
Initial policy on harmonisationConsultation paper Q3 1999
Prudential sourcebookConsultation paper Q2 2000
Supervision manualConsultation paper Q4 1999
New responsibilities
The future regulation of Lloyd's (Consultation Paper 16) Feedback statementQ2 1999
Credit Unions11 1
Professional firms currently regulated by recognised professional bodies Consultation paper1Q2 1999
Conduct of business standards
Conduct of business sourcebookConsultation paper Q3 1999
Financial crime objective
Approach to new anti-money laundering rules Consultation paperQ2 1999
Markets and exchanges
Future regulation of inter-professional business (Discussion paper—October 1998) Feedback statementQ2 1999
Market conduct sourcebookConsultation paper Q3 1999
Exchanges and clearing houses sourcebook Consultation paperQ4 1999
Financial Services Regulation: enforcing the new regime (Consultation paper 17) Feedback statementQ2 1999
Enforcing the general prohibition on unauthorised business Consultation paperQ2 1999
Enforcement manualConsultation paper Q4 1999
Industry training
Training and competence sourcebookConsultation paper Q3 1999
Consumer relations
Promoting public understanding of financial services: a strategy for consumer education Policy statementQ2 1999
Compensation Scheme: policyConsultation paper Q2 1999
Compensation Scheme: rulesConsultation paper Q4 1999
Ombudsman Scheme: rulesConsultation paper Q2 1999
Complaints CodeConsultation paper Q3 1999
Fees, once new legislation is in force Consultation paperQ2 2000

1 Contingent on developments in Treasury policy.

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Prepared 14 May 1999