Regulatory Law

Chair of Regulatory Law Committee

Karen Anderson
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04/03/2019 - FCA CP18-42 - High-Cost Credit Review - Overdrafts consultation paper and policy statement

CLLS Regulatory Law Committee's final response to FCA CP18-42 on overdrafts, which sets out the FCA’s proposals on reforming the way banks charge for overdrafts.
Download this file (CLLS Reg Law Committee_ Final response to FCA CP18-42 on overdrafts.pdf)

08/02/2019 - FCA CP 18/38 - Restricting contract for difference products sold to retail clients

Regulatory Law Committee response to FCA CP 18/38 - Restricting contract for difference products sold to retail clients
Download this file (CLLS Reg Law Committee - Final response to FCA CP18-38 on restricting CFDs sold to retail clients.pdf)

13/12/2018 - CLLS Response - Temporary permissions regime for inbound firms and funds

CLLS Regulatory Law Committee response to the FCA's consultation on the temporary permissions regime for inbound firms and funds
Download this file (Reg Law Committee - Response on FCA CP18-29 on Temporary Permissions Regime.pdf)

22/11/2018 - CLLS endorsed memorandum on private contracts and Schedule.

Download this file (CLLS endorsed memorandum on private contracts and Schedule..pdf)

06/07/2018 - Response to FCA Guidance Consultation 18/1 on new chapter to the financial crime guide

Response of Regulatory Law Committee to FCA Guidance Consultation 18/1 on new chapter to the financial crime guide on insider dealing and market manipulation systems and controls
Download this file (Response on FCA GC18-1 on new chapter of financial crime guide 06 07 18.pdf)

18/06/2018 - FCA Call for Input: Using technology to achieve smarter regulatory reporting

Response by Regulatory Law Committee to FCA Call for Input: Using technology to achieve smarter regulatory reporting
Download this file (Final response to FCA call for input on Smarter Regulatory Reporting - 18 06 18.pdf)

10/05/2018 - Feedback to Commission on fund distribution

Download this file (Feedback to Commission on fund distribution - 10 05 18.pdf)

10/05/2018 - Draft Directive and Regulation on facilitating cross-border distribution of collective investment funds

Regulatory Law Committee Feedback on draft Directive and Regulation on facilitating cross-border distribution of collective investment funds
Download this file (CLLS Reg Law Committee - Response to EC on facilitating cross-border distribution of funds.pdf)

09/02/2018 - Regulatory Law Committee Response to FCA on Industry Codes of Conduct

CP17/37 – Consultation Paper on Industry Codes of Conduct and Discussion Paper on FCA Principle 5
Download this file (Reg Law Committee Response to FCA on Industry Codes of Conduct.pdf)

29/12/2017 - Regulatory Law Committee - letter to FCA - MiFID II -Outsourcing in relation to Portfolio Management Services

CLLS Regulatory Law Committee - letter to FCA - MiFID II -Outsourcing in relation to Portfolio Management Services. NB - Stephen Hanks confirmed in his response to this letter that the reference to the inducements provisions not falling away was not intended to be a comment about the obligations on the person to whom an investment firm delegates.
Download this file (CLLS Reg Law Comm Letter to FCA - 29 12 17.pdf)

12/10/2017 - Recent submissions by Regulatory Law Committee to the FCA

1. In response to an approach by the Committee in relation to the MiFID II Implementation Policy Statement II, the FCA has confirmed that the expression "MiFID, equivalent third country or optional exemption business" is shorthand for "MiFID business, the equivalent business of a third country investment firm or MiFID optional exemption business". 2. In response to a separate approach by the Regulatory Law Committee in respect of a recent Supervision Review Report on acquiring clients from other firms, the FCA confirmed that the report was not intended to contradict the current law on assignment and novation. In particular, it was not the intention to cast doubt on the proper use of assignment as a legal mechanism to help facilitate business transfers. A clarificatory note has been published on the FCA's website.
Access this URL (https://www.fca.org.uk/publications/research/supervision-review-report-acquiring-clients-other-firms)

16/05/2017 - CLLS Reg Law Committee Final response to FCA re ESMA AIFMD Q and A

Download this file (CLLS Reg Law Committee Final response to FCA re ESMA AIFMD Q and A.pdf)

24/03/2017 - CLLS Reg Committee response to Ministry of Justice - Call for evidence on corporate liability for economic crime

Download this file (CLLS Reg Committee response to Ministry of Justice - Call for evidence on corporate liability for economic crime.pdf)

20/02/2017 - CP 16-43 – Markets in Financial Instruments Directive II Implementation – Consultation Paper IV

Download this file (CLLS Reg Law Committee Final response to FCA CP16-43 on MiFID II Implementation Paper IV.pdf)

26/01/2017 - CLLS Reg Law Committee Final response to FCA Future Mission

Download this file (CLLS Reg Law Committee Final response to FCA Future Mission.pdf)

04/01/2017 - FCA Consultation on MiFID II implementation Consultation Paper III

Download this file (FCA Consultation on MiFID II implementation Consultation Paper III.pdf)

23/12/2016 - Response to HMT Consultation on Amending the Definition of Financial Advice

Download this file (CLLS Reg Law Committee - Final response to HMT consultation on amending the definition of financial .PDF)

23/12/2016 - Response to FCA Consultation Paper 16/28 on remuneration

Download this file (CLLS Reg Law Committee - Final response to FCA CP16-28 on remuneration.PDF)

06/09/2016 - Response to CP16-17 FCA Quarterly Consultation No 13

Download this file (Reg Law Committee Response to CP16-17 Final.pdf)

14/07/2016 - Joint FCA and PRA consultation on proposed implementation of the Enforcement Review and the Green Report

CP 16-10: Joint FCA and PRA consultation on proposed implementation of the Enforcement Review and the Green Report
Download this file (CLLS Reg Law Committee Letter - CP16-10 Implementation of Enforcement Review 14-07-2016.pdf)

29/03/2016 - CLLS RL Comm_ Response to European Ombudsman (trilogues and transparency of trilogues) 29-03-2016

Download this file (CLLS RL Comm_ Response to European Ombudsman (trilogues and transparency of trilogues) 29-03-2016.pdf)

29/03/2016 - CLLS RL Comm_ Response to ESMA (market abuse regime) 29-03-2016

Download this file (CLLS RL Comm_ Response to ESMA (market abuse regime) 29-03-2016.pdf)

23/02/2016 - CLLS Reg Law Committee_ Letter to FCA REP-CRIM 23.02.16 Final

Download this file (CLLS Reg Law Committee_ Letter to FCA REP-CRIM 23.02.16 Final.pdf)

04/02/2016 - CLLS Reg Law Committee: Letter to HMT (Draft MAR Regs)

Download this file (CLLS Reg Law Committee_ Letter to HMT  (Draft MAR Regs) Final - 4 Feb.pdf)

04/02/2016 - Response to FCA 15_35

Download this file (CLLS Reg Law Committee_ Response to FCA CP 15_35 (MAR Consultation) Final.pdf)

04/01/2016 - Response to FCA Discussion Paper on Smarter Consumer Communications

Download this file (CLLS Response to FCA Discussion Paper on Smarter Consumer Communications.pdf)

04/01/2016 - Response to HM Treasury Technical Consultation on the Bank of England Bill

Download this file (CLLS Response to HM Treasury technical consultation on Bank of England Bill.pdf)

17/06/2015 - Response to EBA Consultation 2015/03 on Draft Guidelines on Sound Remuneration Policies

Download this file (CLLS - EBA Sound Remuneration response (41924453 Legal).pdf)

17/06/2015 - Response to EBA Consultation 2015/06 on Limits on Exposures to Shadow Banking Entities

Download this file (CLLS response_ EBA CP_2015_06 - Shadow Banking (41838116 Legal).pdf)

04/05/2015 - Response from FCA to CLLS re Withdrawal of Unfair Contract Terms Guidance

Download this file (CLLS response from FCA re withdrawal of guidance May 2015.pdf)

29/04/2015 - Letter to FCA regarding Withdrawal of Unfair Contract Terms Guidance

Download this file (CLLS Letter to FCA re Withdrawal of Unfair Contract Terms Guidance DOCX.pdf)

02/02/2015 - Response to FCA Guidance Consultation: Proposed guidance on financial crime systems and controls

Download this file (CLLS FCA - Financial crime systems and controls.pdf)

29/01/2015 - Response to CP14/23 Restrictions on the Retail Distribution of Regulatory Capital Instruments

Download this file (CLLS FCA CP14-23 FINAL.PDF)

29/01/2015 - Response to FEMR: How fair and effective are the fixed income, foreign exchange and commodities markets?

Download this file (CLLS FEMR FINAL.PDF)

14/01/2015 - ESMA Consultation on Guidelines on application of C6 and C7 of Annex 1 of MiFID

Download this file (ESMA_CP Guidelines_on_the_application_of_C6_andC7_of_Annex_I_of_MiFID CL   .pdf)

14/01/2015 - Response to EBA/CP/2014/33 - Draft Regulatory Technical Standards on the contractual recognition of write-down and conversion powers under Article 55 (3) of the Bank Recovery & Resolution Directive

Download this file (Article 55 draft reg tech standards.pdf)

16/12/2014 - Response to ESMA's oral evidence to the House of Lords on the EU Financial Regulatory Framework

Download this file (Ltr to V Ross review of eu reg framework.pdf)

02/12/2014 - Letter to HMT re the Financial Policy Committee's Housing Policy Market Tools

Download this file (CLLS Submission to HMT - FPC housing market tools.pdf)

05/11/2014 - Response to the FCA's call for examples of retrospective application of rules by the FCA/FSA

Download this file (CLLS RL Comm - Response to FCA call for examples of retrospective application of rules.pdf)

05/11/2014 - Response to the ESMA CP 809 on MAR technical standards.

Download this file (ESMA_MAR_CP_TS_CLLS_REPLYFORM.pdf)

09/10/2014 - Response to HMT consultation on the transposition of the Bank Recovery and Resolution Directive

The consultation considered some of the key issues to be addressed in the transposition of the Bank Recovery and Resolution Directive, and sought views from industry and others potentially affected by the changes. The response focussed on the proposals for removing the impediments to resolvability discussed in section 3 of the consultation document; and in particular the proposals to give enforcement powers for early intervention to the Bank of England.
Download this file (20140926 CLLS Submission to HMT - Transposition of BRRD (3).pdf)

21/08/2014 - Letter from FCA regarding implications of decision in matter of Fons HF (in liquidation) v Corporal Limited and Pillar Securitisation S a r l

Download this file (20140820 Letter from FCA regarding implications of decision in matter of Fons HF (in liquidation) v Corporal Limited and Pillar Securitisation S a r l.pdf)

19/08/2014 - Response to ESMA’s Consultation Paper on MiFID II/MiFIR

The Committee’s submission responded to those sections of the ESMA paper where the Committee hoped that its comments may have a useful impact from a legal perspective.
Download this file (20140801 CLLS RC_ Letter ESMA MiFID response (36840154) (3).pdf)

14/07/2014 - Response to HMT Review of enforcement decision-making at the financial services regulators: call for evidence

The consultation formed part of a Government review, led by the Treasury, of the fairness, transparency, speed and efficiency of the institutional arrangements and processes for enforcement decision making at the FCA and the PRA. The submission, which focussed on disciplinary enforcement action, responded to the specific consultation questions.
Download this file (20140711 Letter to Treasury re HMT Enforcement Call for Evidence July 2014 (36475547).pdf)

10/06/2014 - Letter regarding implications of decision in matter of Fons HF (in liquidation) v Corporal Limited and Pillar Securitisation S a r l

Download this file (20140604 Letter re implications of decision in matter of Fons HF (in liquidation) v Corporal Limited and Pillar Securitisation S a r l (final).pdf)

25/03/2014 - Response to Prudential Regulation Authority Consultation on PRA Rulebook CP2/14

The Consultation Paper set out proposals to redraft certain modules of the Prudential Regulation Authority’s (“PRA”) Handbook. The scope of the response was limited to the Committee’s views on the proposed PRA Fundamental Rules (“FRs”). (Chapter 3 of the Consultation Paper set out the PRA’s proposal to replace the six Principles for Business (the “Principles”) inherited from the FSA with the FRs) In addition to its detailed observations on the proposed FRs, the Submission also noted that, as a general observation, the Committee considered that the proposed changes to the Principles are unnecessary and risk causing legal confusion amongst dual-regulated firms.
Download this file (PRA Rulebook CP214.pdf)

18/03/2014 - Memorandum on EMIR: reporting of derivatives transactions and corporate transactions

The memorandum concerns the potential legal uncertainties which may arise as to the application of EMIR – and specifically its reporting requirements - to ordinary corporate transactions and arrangements (e.g. between companies and their shareholders, when capital raising, with share scheme arrangements for employees).
Download this file (20140314 CLLS Memorandum on EMIR - reporting of derivatives transactions and corporate transactions (final).pdf)

28/02/2014 - Response to FCA CP13/17: Use of dealing commission

The consultation paper focussed on proposed changes to the FCA’s use of dealing commission rules in its Conduct of Business Sourcebook (COBS). The FCA stated that the proposed changes were designed to “ensure investment managers make appropriate judgements and control costs on behalf of their clients when using dealing commission to pay for goods and services”. The submission addressed the consultation questions, and noted the Committee's significant concerns in relation to: 1)“the presentation of the changes as being a “clarification” and as being consistent with the “intention behind the original regime”. These are clearly substantive changes to the rules which have a number of implications, including on the requirement for an Article 4 notification;” 2)“the introduction of a new definition relating to research; and” 3)“the definition of corporate access.”
Download this file (20140226 CLLS Response to FCA CP13 17 on the use of dealing commission rules.pdf)

17/02/2014 - Response to HMT Review of the Balance of Competences (Single Market: Financial Services and the Free Movement of Capital - Call for Evidence)

The Committee responded in detail to the consultation questions, and noted generally that it had “many serious concerns about the current approach to law making and implementation for the single market in financial services”. It argued that “[t]these could be addressed and it is in the interests of the UK and in particular London that they are.”
Download this file (20140217 -v6-CLLSR_-_Response_to_HMT_Review_of_the_Balance_of_Compet.pdf)

24/10/2013 - Response to FCA CP 13/5 Review of the client assets regime for investment business

The consultation paper consulted on material changes to the rules in relation to client money, custody assets and mandates. The submission responded in detail to some of the consultation questions.
Download this file (20131023 FCA CP 13 5.pdf)

19/09/2013 - Response to JMLSG consultation on proposed amendments to its Money Laundering Guidance for the Financial Sector

Response to JMLSG consultation on proposed amendments to its Money Laundering Guidance for the Financial Sector.
Download this file (CLLS-Regulatory-Law-Committee-Response-to-JMLSG-consultation.pdf)

02/07/2013 - Response to FSA CP13/8: Publishing information about warning notices

Response to FSA CP13/8: Publishing information about warning notices
Download this file (20130701-Reg-Law-Cttee-response-to-FSA-cons-13-8.pdf)

10/05/2013 - Response to FSA CP 13/9: Implementation of the Alternative Investment Fund Manag

Response to FSA CP 13/9: Implementation of the Alternative Investment Fund Managers Directive Part 2
Download this file (20130617-Response-to-CP-13-9-Implementation-of-the-Alternative-Investment-F~.pdf)

01/02/2013 - Response to FSA CP 12/32: Implementation of the Alternative Investment Fund

Response to FSA CP 12/32: Implementation of the Alternative Investment Fund Managers Directive
Download this file (20130419-TS4-20119689-v1-CLLS-response-to-FSA-CP12-32-(AIFMD-Implementation).pdf)

07/01/2013 - Response to HMT consultation: A new approach to financial regulation: draft

Response to HMT consultation: A new approach to financial regulation: draft secondary legislation
Download this file (Response-to-HMT-consultation-A-new-approach-to-Financial-Regulation-draft-s~.pdf)

14/12/2012 - Response to FSA CP 12/26: Regulatory reform: the PRA and FCA regimes for Approve

Response to FSA CP 12/26: Regulatory reform: the PRA and FCA regimes for Approved Persons
Download this file (20130405--CLLS-Response-to-FSA-CP12-26-(FCA-and-PRA-Approved-Persons)-(Sign~.pdf)

14/12/2012 - Response to FSA consultation paper: Journey to the Financial Conduct Authority

Response to FSA consultation paper: Journey to the Financial Conduct Authority
Download this file (20130405-CLLS-Response-to-FSA-Approach-Paper---Journey-to-the-FCA-(Signed)-~.pdf)

14/12/2012 - Response to ESMA document: Consultation on Guidelines on remuneration policies

Response to ESMA document: Consultation on Guidelines on remuneration policies and practices (MiFID) (ESMA/2012/570)
Download this file (20130405-CLLS-Response-to-ESMA-CP570-(MiFID-Remuneration-Guidelines)-(Signe~.pdf)

14/11/2012 - Response to FSA CP 12/19: Restrictions on the retail distribution of unregulated

Response to FSA CP 12/19: Restrictions on the retail distribution of unregulated collective investment schemes and close substitutes
Download this file (20130405-CLLS-Regulatory-Law-Committee-Response-to-FSA-CP12-19-(Retail-Dist~.pdf)

27/09/2012 - Response to ESMA Consultation on Guidelines on sound remuneration policies

Response to ESMA Consultation on Guidelines on sound remuneration policies under the AIFMD
Download this file (20121030-TS3-14527343-v1-CLLS-Submission-to-ESMA-CP406-on-AIFMD-Remuneratio~.pdf)

10/08/2012 - Submission to Arlene McCarthy, MEP regarding European Commission’s Draft

Submission to Arlene McCarthy, MEP regarding European Commission’s Draft Regulation on Insider Dealing and Market Manipulation
Download this file (20120823-CLLS-Reg-Law-Cttee---MAR-Compromise-Proposal-(Aug-2012).pdf)

06/06/2012 - Response to the Commission’s Green Paper on Shadow Banking

Response to the Commission’s Green Paper on Shadow Banking
Download this file (20120607-TS3-14096707-v1-CLLS-Response-to-Commission-Shadow-Banking-Green-P~.pdf)

22/05/2012 - Response to HM Treasury’s Informal Consultation: Policy options for implementing

Response to HM Treasury’s Informal Consultation: Policy options for implementing the Alternative Investment Fund Manager’s Directive (“AIFMD”)
Download this file (20120521-TS3-14012448-v1-CLLS-Response-to-HMT-AIFMD-Implementation-Consulta~.pdf)

01/05/2012 - Comments on FSA Consultation Paper 12/1 on Large Exposures Regime

Comments on FSA Consultation Paper 12/1 on Large Exposures Regime
Download this file (TS3-13943771-v1-CLLS-Comments-on-CP12-1-(Large-Exposures-Regime).pdf)

26/03/2012 - Responses to certain of the questions in the FSA’s Discussion Paper

Responses to certain of the questions in the FSA’s Discussion Paper 12/1 on the Implementation of the Alternative Investment Fund Managers Directive
Download this file (20120327-TS3-13821275-v1-CLLS-Response-to-FSA-DP-12-1-(AIFMD-Implementation~.pdf)

23/03/2012 - Response to ESMA Discussion Paper (ESMA/2012/117) on Key concepts of the

Response to ESMA Discussion Paper (ESMA/2012/117) on Key concepts of the Alternative Investment Fund Managers Directive and types of AIFM
Download this file (20120326-TS3-13812918-v1-CLLS-Response-to-ESMA-DP-on-AIFMD-Types-of-AIFM.pdf)

23/03/2012 - Response from FSA regarding cleansing announcements

Response from FSA regarding cleansing announcements
Download this file (20120323-Response-from-FSA-re-cleansing-announcements.pdf)

13/03/2012 - Response to ESMA Consultation Paper (ESMA/2011/446) on Guidelines on certain

Response to ESMA Consultation Paper (ESMA/2011/446) on Guidelines on certain aspects of the MiFID compliance function requirements
Download this file (20120314-TS3-13731876-v2-CLLS-Submission---ESMA-MiFID-Compliance-Function-C~.pdf)

02/03/2012 - Letter to FSA regarding cleansing announcements

Letter to FSA regarding cleansing announcements
Download this file (20120303-Letter-to-FSA-re-Einhorn-case.pdf)

06/02/2012 - Comments on CP11/27 - PMDR transactions: guidance on the role of brokers

Comments on CP11/27 - PMDR transactions: guidance on the role of brokers
Download this file (20120209-CP-11-27-consultation-response.pdf)

02/02/2012 - Response to EC consultation on

Response to EC consultation on "Review of Markets in Financial Instruments Directive (MiFID)"
Download this file (20110228-CLLS-MiFID-II-Submission-Letter.DOC)

31/01/2012 - Response to EC consultation on legislative steps for Packaged Retail Investment

Response to EC consultation on legislative steps for Packaged Retail Investment Services Initiative
Download this file (20110228-CLLS-Response-to-PRIPS-Consultation.pdf)

25/01/2012 - Comments on proposed Market Abuse Regulation and Market Abuse Directive

Comments on proposed Market Abuse Regulation and Market Abuse Directive
Download this file (20120209-TS3--13621947-v1-CLLS-Regulatory-Law-Committee---MAD-2-MAR-Submiss~.PDF)

16/01/2012 - Response to Markus Ferber MEP's Questionnaire on the European Commission's

Response to Markus Ferber MEP's Questionnaire on the European Commission's proposals for MiFID/MiFIR
Download this file (Markus-Ferber-MEP.pdf)

23/11/2011 - Response to the FSA Guidance Consultation on Simplified Advice

Response to the FSA Guidance Consultation on Simplified Advice
Download this file (Submission---FSA-Guidance-Consultation-on-Simplified-Advice.pdf)

08/09/2011 - Response to HMT Consultation

Response to HMT Consultation "A New Approach to Financial Regulation: The Blueprint for Reform"
Download this file (20110912-CLLS-Response-HMT-Blueprint-for-Reform-Consultation.pdf)

02/09/2011 - Response to the HMT document

Response to the HMT document "Review of the Money Laundering Regulations 2007: the Government Response"
Download this file (20110902-Reg-Law-response-to-the-money-laundering-consultation.pdf)

11/08/2011 - Response to EC Consultation on a new European Regime for Venture Capital Funds

Response to EC Consultation on a new European Regime for Venture Capital Funds
Download this file (TS3-12890645-v1-CLLS-Response-to-EC-Consultation-on-Venture-Capital-Regime.pdf)

05/08/2011 - Response to FSA Quarterly Consultation (No. 29) CP11/11

Response to FSA Quarterly Consultation (No. 29) CP11/11
Download this file (20110805-CLLS-Response-to-CP11-11-(on-Land-Investment-Schemes)-(2).pdf)

23/05/2011 - Response to FSA Consultation Guidance on the Remuneration Code

Response to FSA Consultation Guidance on the Remuneration Code
Download this file (20110524-CLLS-Response-to-FSA-Rem-Code-Guidance-Consultation.pdf)

18/04/2011 - Response to HMT Consultation

Response to HMT Consultation "A New Approach to Financial Regulation - Building a Stronger System"
Download this file (20110418-TS3-12450877-v1-CLLS-Response-to-HMT-New-Regulatory-Infrastructure~.pdf)

17/12/2010 - Response to FSA COnsultation Paper (CP10/23) Decision Procedure and Penalties

Response to FSA COnsultation Paper (CP10/23) Decision Procedure and Penalties Manual and Enforcement Guide Review 2010
Download this file (20101217-Reg-LC-Resp-to-FSA-CP-10-23-TS3-12037403-v1-CLLS-Response-to-FSA-C~.pdf)

08/12/2010 - Response to FSA CP10/22 (Chapter 6, regarding the Spector judgement)

Response to FSA CP10/22 (Chapter 6, regarding the Spector judgement)
Download this file (20101208-CLLS-Response-to-FSA-CP10-22-(Ch6---Spector).pdf)

12/11/2010 - Response to CEBS Consultation on Guidelines on Remuneration Policies

Response to CEBS Consultation on Guidelines on Remuneration Policies and Practices
Download this file (20110415-TS3-11900689-v1-CLLS-CEBS-CP42-(Remuneration)-Signed-Response.pdf)

19/10/2010 - Response to FSA Consultation on the Remuneration Code

Response to FSA Consultation on the Remuneration Code
Download this file (20101108-TS3-11783172-v1-CLLS-Regulatory-Law-Cttee---Response-to-FSA-CP10-1~.pdf)

15/10/2010 - Response to HMT Consultation 7874: A new approach to financial regulation

Response to HMT Consultation 7874: A new approach to financial regulation, judgement, focus and stability
Download this file (20101015-Reg-Law-Cttee-response-to-CM-7874---A-new-approach-to-financial-re~.pdf)

30/09/2010 - Response to Consultation Paper 10/15 - Chapter 8 Client Money & Assets

Response to Consultation Paper 10/15 - Chapter 8 Client Money & Assets
Download this file (20100906-Response-to-CP-10-15.pdf)

01/09/2010 - Response of the Law Society of England and Wales and CLLS Regulatory and Company

Response of the Law Society of England and Wales and CLLS Regulatory and Company Law Committees to the European Commission Green Paper on Corporate Governance in Financial Institutions and Remuneration Policies
Download this file (20101106-Joint-response-of-Law-Society,-CLLS-Reg-Law-and-Company-Law-Cttees~.pdf)

30/06/2010 - Response to FSA CP10/9 - Enhancing the Client Assets Sourcebook

Response to FSA CP10/9 - Enhancing the Client Assets Sourcebook
Download this file (20100803-TS3-11439872-v1-CLLS-Response-to-FSA-CP10-9-(Client-Assets)---Sign~.pdf)

28/06/2010 - Response to FSA CP10/11 Implementing Aspects of the Financial Services Act 2010

Response to FSA CP10/11 Implementing Aspects of the Financial Services Act 2010
Download this file (Implemting-Financial-Services-Act-2010.pdf)

16/06/2010 - Joint CLLS and Law Society response to FSA Consultation Paper CP10/10 Chapter

Joint CLLS and Law Society response to FSA Consultation Paper CP10/10 Chapter 10: Proposed Changes to the Controllers Regime in the Supervision Manual
Download this file (20100720-15-06-10---Response-on-CP10-10---FSA-Guidance-on-Controller-Regime~.pdf)

24/03/2010 - Response to HMT Consultation

Response to HMT Consultation "Establishing Resolution Arrangements for Investment Banks"
Download this file (20100413-TS3-11088737-v1-Final-CLLS-Response---HMT-CP-Establishing-Resoluti~.pdf)

19/03/2010 - Response to FSA Consultation Paper 09/31

Response to FSA Consultation Paper 09/31 "Retail Distribution Review: Professionalism, Corporate Pensions and Applicability of RDR to pure protection advice"
Download this file (20100322-TS3-11062723-v1-CLLS-Reg-Com-Response-to-FSA-CP-09-31.pdf)

15/02/2010 - Response to HMT Consultation on Mortgage Regulation

Response to HMT Consultation on Mortgage Regulation
Download this file (20100218-CLLS-response-to-HMT-consultation-paper-on-mortgage-regulation-.pdf)

20/01/2010 - Response to

Response to "An EU Framework for Cross-Border Crisis Management in the Banking Sector"
Download this file (20100205-Framework-for-cross-border-crisis-managament-in-the-banking-sector.pdf)

14/01/2010 - Submission to the House of Commons Public Bill Committee on the Financial

Submission to the House of Commons Public Bill Committee on the Financial Services Bill 2009-10
Download this file (20100201-Reg-Law-Cttee-Submission-on-Financial-Services-Bill-.pdf)

14/12/2009 - Response to CESR Consultation Paper

Response to CESR Consultation Paper "Understanding the Definition of Financial Advice Under MiFID"
Download this file (20091216-CESR-Submission.pdf)

11/12/2009 - Response to HM Treasury's Review of the Money Laundering Regulations 2007

Response to HM Treasury's Review of the Money Laundering Regulations 2007
Download this file (20091216-MLRs-2007-Submission.pdf)

11/12/2009 - Covering letter regarding response to HM Treasury's Review of the Money

Covering letter regarding response to HM Treasury's Review of the Money Laundering Regulations 2007
Download this file (20091216-Covering-letter-to-MLRs-2007-Submission.pdf)

23/11/2009 - Response to the consultation on amendments to the Tribunal Procedure

Response to the consultation on amendments to the Tribunal Procedure (Upper Tribunal) Rules 2008 to accommodate the transfer of the Financial Services and Markets Tribunal to the Upper Tribunal
Download this file (200901130-Response-to-the-consultation-on-amendments-to-the-Upper-Tribunal-~.pdf)

16/11/2009 - Comments on the legislative framework for the regulation of alternative finance

Comments on the legislative framework for the regulation of alternative finance investment bonds (sukuk)
Download this file (20091116-Comments-on-legislative-framework-for-the-regulation-of-AFIBs-(suk~.pdf)

02/11/2009 - Response to FSA CP09/21 - Transparency as a Regulatory Tool and Publication

Response to FSA CP09/21 - Transparency as a Regulatory Tool and Publication of Complaints Data
Download this file (20091029-CLLS-CP-09-21-Submission-letter.pdf)

02/11/2009 - Response to FSA CP09/19 - Enforcement Financial Penalties

Response to FSA CP09/19 - Enforcement Financial Penalties
Download this file (response-to-CP09-19.pdf)

12/10/2009 - Response to the Walker Review - Shareholder engagement and change in control

Response to the Walker Review - Shareholder engagement and change in control requirements under the EU Acquisitions Directive
Download this file (20091008-Walker-Review.pdf)

21/09/2009 - Response to the EU Commission's Consultation Paper on the UCITS Depositary

Response to the EU Commission's Consultation Paper on the UCITS Depositary Function
Download this file (Response-re-UCITS-depositary-function.pdf)

20/07/2009 - Alternative Investment Fund Managers Directive - Further Comments

Alternative Investment Fund Managers Directive - Further Comments
Download this file (20090717-Alternative-Investment-Fund-Managers-Directive---further-comments.pdf)

06/07/2009 - Comments on Alternative Investment Fund Managers Directive

Comments on Alternative Investment Fund Managers Directive
Download this file (Alternative-Investment-Fund-Managers-Directive-letter.pdf)

22/06/2009 - Response to FSA Discussion Paper DP09/2 on the Global Banking Crisis

Response to FSA Discussion Paper DP09/2 on the Global Banking Crisis
Download this file (20090619-FSA-Discussion-Paper-DP09-2-A-regulatory-response-to-the-global-ba~.pdf)

15/06/2009 - Response to FSA Consultation CP09/12: Quarterly Consultation

Response to FSA Consultation CP09/12: Quarterly Consultation
Download this file (20090612-CLLS-Response-to-CP09-12---final-draft-(2).pdf)

15/06/2009 - Comments on Call for Evidence on Market Abuse Directive 2003/6/EC

Comments on Call for Evidence on Market Abuse Directive 2003/6/EC
Download this file (20090612-Call-for-evidence-on-Market-Abuse-Directive-(Directive-2003-6-EC).pdf)

18/05/2009 - Response to FSA Paper 09/10 Reforming Remuneration Practices in Financial

Response to FSA Paper 09/10 Reforming Remuneration Practices in Financial Services
Download this file (Reforming-remuneration-practices-in-financial-services.pdf)

13/05/2009 - Response to FSA Discussion Paper 09/1 -

Response to FSA Discussion Paper 09/1 - "Short Selling"
Download this file (20090513-TSB2-7839016-v1-CLLS-response-on-FSA-DP09-1-(final-version).pdf)

07/04/2009 - FSA Consultation Paper CP08/24: Stress and Scenario Testing

FSA Consultation Paper CP08/24: Stress and Scenario Testing (the Consultation Paper)
Download this file (CLLS-Response-to-CP08-24.pdf)

02/04/2009 - Response to CP08/25 – The Approved Persons regime: significant influence

Response to CP08/25 – The Approved Persons regime: significant influence function review
Download this file (20090331-Response-to-CP-08-25.pdf)

16/03/2009 - Response to CP08/23 Financial Stability and Depositor Protection: FSA

Response to CP08/23 Financial Stability and Depositor Protection: FSA Responsibilities
Download this file (20090313-Response-to-FSA-Consultation-Paper-CP08-23---Financial-Stability-a~.pdf)

16/03/2009 - Response to CP 08/22 Strengthening Liquidity Standards

Response to CP 08/22 Strengthening Liquidity Standards
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11/03/2009 - Joint response of the City of London Company Law and Regulatory Committees

Joint response of the City of London Company Law and Regulatory Committees to the European Commission's Review of the Prospectus Directive
Download this file (Company-and-Regul-Committees-EC-Review-of-the-Prospectus-Directive.pdf)

09/03/2009 - Response to Consultation on the Legislative Framework for the Regulation

Response to Consultation on the Legislative Framework for the Regulation of Alternative Finance Investment Bonds (sukuk)
Download this file (20090309123213.pdf)

25/02/2009 - Response to CP 08/19 (

Response to CP 08/19 ("Regulating retail banking conduct of business")
Download this file (20090224-Regulating-Retail-Conduct-of-Business.pdf)

17/02/2009 - Consultation on EU proposals for a consumer rights directive

Consultation on EU proposals for a consumer rights directive
Download this file (CLLS-BERR-response-(v.2)-on-Consumer-Rights-Directive(v1).pdf)

03/02/2009 - Response to EU Commission Consultation on Hedge Funds

Response to EU Commission Consultation on Hedge Funds
Download this file (20090202-CLLS-Response-to-Commission-CP-on-hedge-funds(v1).pdf)

12/01/2009 - Response to Consultation on Market Abuse Directive Level 3

Response to Consultation on Market Abuse Directive Level 3
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16/12/2008 - Response to the Consultation Document on the Implementation of the Acquisition

Response to the Consultation Document on the Implementation of the Acquisition Directive
Download this file (20090123-Response-to-the-Consultation-Document-on-the-Implementation-of-the~.pdf)

16/12/2008 - Response to Second Consultation on Financial Services and Markets Act 2000

Response to Second Consultation on Financial Services and Markets Act 2000 (Financial Promotion) (Amendment) Order 2008
Download this file (Second-Consultation-on-FSMA-2000-(Financial-Promotion)-(Amendment)-Order-20~.pdf)

05/11/2008 - Response to Consultation on Building Societies (Funding) and Mutual Societies

Response to Consultation on Building Societies (Funding) and Mutual Societies (Transfers) Act 2007
Download this file (20081027-Submission-response.pdf)

23/10/2008 - Regulatory Committee - Proposed Business Plan 2008/9

Regulatory Committee - Proposed Business Plan 2008/9
Download this file (Regulatory-Law-Committee-Proposed-Business-Plan.pdf)

23/10/2008 - Modernising the insolvency protections for the operation of financial markets

Modernising the insolvency protections for the operation of financial markets - proposals to reform Part VII Companies Act 1989
Download this file (20081022-Modernising-the-insolvency-protections-for-the-operation-of-financ~.pdf)

20/10/2008 - Response to Consultation Paper 08/10 and DP 08/3

Response to Consultation Paper 08/10 and DP 08/3
Download this file (20081020-OIVoPs-(CP08-10-and-DP08-3).pdf)

13/10/2008 - Financial Stability and Depositor Protection - Special Resolution Regime

Financial Stability and Depositor Protection - Special Resolution Regime
Download this file (20081010-Response-of-the-CLLS-Regulatory-Law-Committee-to-Financial-Stabili~.pdf)

09/09/2008 - Response to FSA Consultation on Decision Procedure, Penalties Manual

Response to FSA Consultation on Decision Procedure, Penalties Manual and Enforcement Guide Review 2008 and Transparency as a Regulatory Tool
Download this file (20080909-Decision-Procedure-and-Penalties-manual-and-Enforcement-Guide-Revi~.pdf)

10/07/2008 - Response to FSA CP08/6 - Review of Client Asset Sourcebook

Response to FSA CP08/6 - Review of Client Asset Sourcebook
Download this file (20080706-Letter-regarding-FSA-CP08-61.pdf)

10/07/2008 - Response to FSA Consultation DP8/02 - Transparency, Disclosure and Conflict

Response to FSA Consultation DP8/02 - Transparency, Disclosure and Conflict of Interest in the Commercial Insurance Market
Download this file (20080701-Letter-re-DP8-02---Transparency-Disclosure-and-Conflicts-of-Intere~.pdf)

14/04/2008 - Response to consultation on Obligations to Report Money Laundering - The Consent

Response to consultation on Obligations to Report Money Laundering - The Consent Regime
Download this file (obligations-to-report-money-launder---consent-regime.pdf)

13/03/2008 - Review of the Financial Regulatory Framework for Commodity and Exotic Derivative

Review of the Financial Regulatory Framework for Commodity and Exotic Derivatives
Download this file (Review-of-the-Financial-Regulatory-Framework-for-Commodity-and-Exotic-Deriv~.pdf)

19/02/2008 - Letter to FSA regarding MiFID Implementation: Financial Promotions

Letter to FSA regarding MiFID Implementation: Financial Promotions
Download this file (20080219-MIFID-Implementation---Financial-Promotions.pdf)

16/01/2008 - Comments on Proposal 66 of Review of Land Registration Rules 2003

Comments on Proposal 66 of Review of Land Registration Rules 2003
Download this file (Land-Registration-Rules-LTR-P-Collis.pdf)

05/12/2007 - MiFID Implementations PS 07/18 Financial Promotions - Questions & Answers

MiFID Implementations PS 07/18 Financial Promotions - Questions & Answers
Download this file (20071207-Letter-from-the-Regulatory-Law-Committee-to-the-FSA-re-MIFID-Imple~.pdf)

25/10/2007 - Response to Consultation Paper 07/9 on Conduct of Business Regime: Non MiFID

Response to Consultation Paper 07/9 on Conduct of Business Regime: Non MiFID Deferred Matters
Download this file (regcp079.pdf)

25/10/2007 - Response to CESR's Consultation on Inducements Under MiFID

Response to CESR's Consultation on Inducements Under MiFID
Download this file (reginduceMiFID.pdf)

19/10/2007 - Response to consultation on Suspicious Activity Reports - prescribed format

Response to consultation on Suspicious Activity Reports - prescribed format
Download this file (suspicious-activity-reports---prescribed-form.pdf)

11/10/2007 - Draft Practice Note on Money Laundering

Draft Practice Note on Money Laundering
Download this file (draft-money-laundering-practice-note.pdf)

12/09/2007 - Response to consultation on amendments to the CIS Border for Property

Response to consultation on amendments to the CIS Border for Property Transactions
Download this file (cis-border-for-property-transactions.pdf)

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