Regulatory AlertsCP14/18: Quarterly consultation No.6
The Financial Conduct Authority proposes miscellaneous amendments to its Handbook, including changes to the procedure for waiving or varying Consumer Credit Act 197 requirements. The consultation also seeks feedback on clarifying Listing Regime provisions, introducing a new fee for reviewing investment policy changes, and extending CASS 6 rules to small AIFMs and depositaries of authorized AIFs. The FCA invites stakeholders to submit their comments via an online form by 5 November 2014.
Once a quarter, we consult on proposed miscellaneous amendments to our Handbook. These tend to be minor changes but we still want to get your feedback on our proposals.
What are we consulting on this quarter?
We are proposing to:
amend the procedure for processing a direction or determination by the FCA waiving, varying or disapplying requirements under the Consumer Credit Act 197
clarify Listing Regime provisions, correct and update guidance and propose a new fee for reviewing a material change to a published investment policy, and
amend CASS 6 to apply to: (i) small AIFMs when carrying out certain activities that are not already caught by CASS 6; and (ii) all assets held by depositaries of authorised AIFs.
Consultation paper 14/18
Who does this consultation affect?
This will be relevant if you or your firm has any interest in the subjects mentioned above.
What are the next steps?
We want to know what you think of our proposals, please send us your comments via the online form . Please send comments by 5 November 2014.
Want to find out more?
For more information:
view the FCA Handbook
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