Consultation Responses
We at APCIMS respond on behalf of our members to the wealth of consultation documents and discussion papers issued by the Financial Services Authority, Government departments and many European and international bodies.
The scope of regulation is increasing all the time. APCIMS' aim is to ensure this regulation is proportionate and fair and that it brings real benefits to the investment community.
Below you can view the recent responses.
Response to Chapter 6 of CP11/27 PDMR transactions - guidance on the erole of brokers
Response to CP11/21 - Regulatory fees and levies
Response to FOS paper - publishing ombudsman decisions - next steps
Response to CP11/18 - Chapter 3 Proposed changes to the Training and Competence Sourcebook
The Kay Review - Submission of evidence from APCIMS
Response to CP11/18 - Chapter 3 Revised changes to the Training and Competence Sourcebook
Response to CP 11/16 - CASS Resolution Pack
Joint Association’s letter to the Chancellor regarding the European Commission's proposal for an EU-wide financial transaction taxThe Association of Private Client Investment Managers and Stockbrokers (APCIMS) has today written a public letter to the Chancellor, in conjunction with other major financial services trade associations, responding to the European Commission’s proposal for an EU-wide financial transaction tax.
Response by APCIMS to Questionnaire on MiFID and MFIR by Markus Ferber MEP EP Rapporteur
Response to The Treasury's Committee's inquiry into the Financial Conduct Authority (FCA)
Response to the ESMA Discussion Paper on Policy on UCITS ETFs and Structured UCITS
Response to CP11/12 - Financial Crime: a guide for firms
Response to HM Treasury – A new approach to financial regulation: the blueprint for reform
Response to The Financial Conduct Authority: Approach to Regulation
Response to "The Treasury Review of the Money Laundering Rgulations 2007: The Government Response"
Response to the "Proposed Guidance on Financial Promotions - Prominence"
Response to EC Corporate Governance Green Paper
CP11/11 Chapter 6 RDR - Adviser Charging
CP11/8: Data Collection: Retail Mediation Activities Return and complaints data
Foreign Account Tax Compliance Act (FATCA) - APCIMS response to Notice 2011-34
Response to EUI consultation on the CREST Courier and Sorting Service
Response to DP11-1: Product Intervention