Public Policy

Key information documents for download

2018 Authority Title Description Documents
February FCA Response to the FCA CP 17/40 on Individual accountability: Transitioning FCA firms and individuals to the SM&CR
January FCA Response to the FCA CP 17/37 on Industry Codes of Conduct and Discussion Paper on FCA Principle 5

2017 Authority Title Description Documents
August FCA Response to the FCA CP 17/17 on Handbook changes to reflect the application of the EU Benchmarks Regulation (Part 2)
August FCA Response to the FCA CP 17/17 on Handbook changes to reflect the application of the EU Benchmarks Regulation (Part 1)
July ESMA Response to the ESMA CP ESMA70-156-166 on the trading obligation for derivatives under MiFIR
July FCA Response to the FCA CP 17/25: Individual Accountability: Extending the Senior Managers & Certification Regime to all FCA firms

2016 Authority Title Description Documents
December ESMA Q&A to ESMA on MiFID II - Commodity Derivatives Position Reporting
October ESMA Response to the ESMA CP ESMA/2016/1440 on guidelines for calibration, publication and reporting of trading halts
October ESMA Response to the ESMA CP ESMA/2016/1422 on the scope of the consolidated tape for non-equity financial instruments
September ESMA Response to the ESMA CP ESMA_2016_723 on draft technical advice under Benchmark Regulation
September ESMA Letter to ESMA on MiFID II Commodity derivatives position limits - Application to securitised commodity derivatives
September ESMA Letter to ESMA on MiFID II Commodity derivatives position limits - Application to non-commodity contracts in Annex I section C.10
September ESMA Response to the ESMA DP ESMA/2016/1389 on trading obligation for derivatives under MiFIR
July CNMV Letter to CNMV on Liquidity Concerns Discretion on OTF and meeting offer post UK Referendum
July CONSOB Letter to CONSOB on Liquidity Concerns Discretion on OTF and meeting offer post UK Referendum
June FCA Letter to FCA concerning the Clarification on Venue Obligations under RTS 26
June ESMA Response to the ESMA CP ESMA/2016/723 on draft technical advice under Benchmark Regulation
May ESMA Follow up letter to ESMA CP ESMA/2015/1909 on Operators of Venues to Transaction Report Client Details
April European Commission Letter to European Commission on Corporate Bond Threshold Calculation under MiFID II for New Issues
January European Commission Letter to European Commission on issues pertaining to the mandating of ISINs within the RTS of MiFID2/R

2015 Authority Title Description Documents
December ESMA Response to the ESMA CP Addendum on MiFID II/MiFIR
March ESMA Response to the ESMA CP ESMA/2014/1570 on MiFID II/MiFIR
January HMT Response to the HMT Fair and Effective Markets Review

2014 Authority Title Description Documents
February EBA Response to the EBA CP 2013/44: Draft regulatory technical standards (RTS) on the methodology for the identification of global systemically important institutions (G-SII)

2013 Authority Title Description Documents
March ESMA Response to the ESMA Call for Evidence - The Evaluation of Regulation (EU) 236/129 (SSR)
March FSA Response to the FSA CP 12/36 The Regulation and Supervision of Benchmarks
January FSA Response to the FSA CP 12/28 Regulatory Fees and Levies: Proposals for 2013/14
January HMT Reponse to the HMT Implementation Wheatley Review: Draft Secondary Legislation
January FSA Response to the FSA CP 12/22: Client Asset Regime: EMIR, Multiple Pools and the Wider Review

2012 Authority Title Description Documents
December European Commission Response to the European Commission Consultation on Possible Recovery and Resolution Framework for Financial Institutions other than Banks
October FSA Response to the FSA CP 12/16: FSCS Funding Review
September FSA Response to the FSA Consultation on General Guidance on Proportionality: The Remuneration Code (SYS 19A) and Pillar 3 Disclosures on Remuneration (BIPRU 11)
September ESMA Response to the ESMA Draft Technical Standards for the Regulation on OTC Derivatives, CCPs and Trade Repositories
August ACER Response to the ACER recommendations to the Commission as regards the records of wholesale energy market transactions
June ESMA Response to the ESMA Call for Evidence - Transaction Reporting
February European Commission Responses to the European Commission Questionnaire on MiFID/MiFIR 2 by Markus Ferber MEP_2
January FSA Response to the FSA CP 11/21 Regulatory Fees and Levies
January European Commission Response to the European Commission Questionnaire on MiFID/MiFIR 2 by Markus Ferber MEP

2011 Authority Title Description Documents
November FSA Response to the FSA Consultation on version 3 of the Transaction Reporting User Pack ("TRUP")
September HMT Response to the HMT CP A New Approach to Financial Regulation
August FSA Response to the FSA Consultation on the FCA Approach to Financial Regulation
August IOSCO Response to the IOSCO Consultation CR02/11: Regulatory Issues Raised by the Impact of Technological Change on Market Integrity and Efficiency
July IOSCO Comments on the CPSS-IOSCO consultative report: Principles for financial market infrastructures
April European Commission Response to the European Commission CP Taxation of the Financial Sector
April HMT Response to the HMT CP A New Approach to Financial Regulation: Building a Stronger System
March FSA Response to the FSA CP 11/02: Regulatory Fees and Levies - Rate proposals 2011/12

2010 Authority Title Description Documents
October HMT Response to the HMT CP A New Approach to Financial Regulation: Judgement, Focus and Stability
October FSA Reponse to the FSA CP 10/19 Revising the Remuneration Code
August CESR Reponse to the CESR Consultation Standardisation and Exchange Trading of OTC Derivatives
August CESR Response to the CESR CP MiFID Review: Transaction Reporting on OTC derivatives and Extension of the Scope of Transaction Reporting Obligations

2009 Authority Title Description Documents
September European Commission Response to the European Commission Communication on Derivatives: Ensuring Efficient, Safe and Sound Derivatives Markets