The FCA has published Consultation Paper 15/42: Quarterly Consultation Paper No. 11 (CP15/42).

In CP15/42 the FCA sets out various miscellaneous amendments to the FCA Handbook. The layout of CP15/42 is as follows:

  • chapter 2 – the FCA proposes to make certain consequential changes to rules and guidance relating to controllers. The deadline for comments is 4 February 2016;
  • chapter 3 – the FCA proposes to make consequential changes to various Retail Distribution Review forms as a result of the Senior Managers’ Regime. The deadline for comments is 4 February 2016;
  • chapter 4 – the FCA proposes to add text to Enforcement Guide 7 to reflect the FCA’s ability to apply to the Court under section 89NA of the Financial Services and Markets Act 2000 for a voting rights suspension order. The deadline for comments is 4 February 2016;
  • chapter 5 – the FCA proposes to make consequential changes to the Handbook for Solvency II and non-Directive firms. The deadline for comments is 4 February 2016;
  • chapter 6 – the FCA proposes to make three proposed changes to the Supervision manual that will amend the reporting requirements and submission methods for some regulated firms. The deadline for comments is 4 February 2016;
  • chapter 7 – the FCA proposes to make changes to the Training and Competence sourcebook list of appropriate qualifications. The deadline for comments is 4 January 2016;
  • chapter 8 – the FCA proposes to make amendments to the Consumer Credit sourcebook and the Perimeter Guidance manual. The deadline for comments is 4 February 2016;
  • chapter 9 – the FCA consults on the impact on its Listing Rules sourcebook of changes to its Prospectus Rules sourcebook which it proposes to make in line with draft regulatory technical standards on the Prospectus Directive. The deadline for comments is 4 January 2016; and
  • chapter 10 – the FCA consults on amending the relevant sections in the Prudential sourcebook for Investment Firms (IFPRU) in relation to the Supervisory Review and Evaluation Process (SREP) for IFPRU firms. This is expected to promote clarity following the implementation of the European Banking Authority’s SREP Guidelines. The deadline for comments is 4 February 2016.

View CP15/42: Quarterly Consultation Paper No. 11, 4 December 2015