Consultation responses

All: Divisions: Key Issues:

Filter: Compliance

  • 10 Dec 2018

    AFME/UK Finance Response to FCA GC18/4 on Statements of Responsibility (95 kb)

  • 5 Oct 2018

    AFME/UK Finance Response to FCA CP18/19 on the Financial Services Directory (196 kb)

  • 23 Aug 2018

    FATF public consultation on the draft RBA guidance for the securities sector (758 kb)

  • 6 Jul 2018

    AFME response to proposed guidance on financial crime systems and controls: insider dealing and market manipulation (189 kb)

  • 25 Jun 2018

    AFME Response to European Commission Proposed Directive on Whistleblower Protection (178 kb)

  • 12 Mar 2018

    AFME Response to the FCA Consultation Paper ‘FCA Mission: Our Approach to Authorisation’ (125 kb)

  • 21 Feb 2018

    Joint AFME-UK Finance Response to FCA CP17/42 Duty of Responsibility for Solo-Regulated Firms Under (141 kb)

  • 21 Feb 2018

    Joint AFME-UK Finance Response to FCA CP17/40 Transitioning Firms and Individuals to the SMCR (106 kb)

  • 5 Feb 2018

    AFME and UK Finance joint response to FCA’s CP17/37 Paper on Industry Codes of Conduct and Discussion Paper on FCA Principle 5 (186 kb)

  • 23 Jan 2018

    AFME/UK Finance Response to draft Guidelines on Transparency (697 kb)

  • 23 Jan 2018

    AFME/UK Finance Comments on WP29 Guidelines on Consent (178 kb)

  • 28 Nov 2017

    AFME/UK Finance Response to draft Guidelines on Automated Individual Decision-Making and Profiling (715 kb)

  • 28 Nov 2017

    AFME/UK Finance Comments on WP29 Guidelines on Personal Data Breach Notification (171 kb)

  • 3 Nov 2017

    AFME/UK Finance Response to FCA CP 17/25 on SMCR Extension (415 kb)

  • 4 Sep 2017

    AFME's response letter to ESMA on the review of the Short Selling Regulation (672 kb)

  • 14 Aug 2017

    AFME/UK Finance Response to PRA CP8/17 on SMR Forms (134 kb)

  • 31 Jul 2017

    AFME/UK Finance Comments on the Draft Guidance for Private Sector Information Sharing (470 kb)

  • 11 Jul 2017

    AFME response to the ESA Consultation on Draft Joint Regulatory Technical Standards (552 kb)

  • 9 Jun 2017

    AFME response on the ESA Consultation Paper on the Draft Joint Guidelines on the Fund Transfer Regulation (527 kb)

  • 25 May 2017

    AFME response to European Commission Survey on Whistleblower Protection (332 kb)

  • 31 Mar 2017

    Joint AFME and BBA response to the ICO’s Consultation on GDPR Consent Guidance (65 kb)

  • 27 Mar 2017

    Joint AFME and BBA response to The ESAs Discussion Paper Use of Big Data by Financial Institutions (311 kb)

  • 24 Mar 2017

    AFME response to the Ministry of Justice call for evidence on reform of corporate liability (258 kb)

  • 27 Jan 2017

    AFME Response to EBA-ESMA Guidelines on the Assessment of the Suitability of Members of the Management Body and Key Function Holders under CRD4 and MiFID2 (438 kb)

  • 27 Jan 2017

    AFME Response to EBA Draft Guidelines on Internal Governance (448 kb)

  • 18 Jan 2017

    AFME BBA response to Fourth Anti-Money Laundering Directive: Amending Proposal (358 kb)

  • 15 Jan 2017

    AFME and BBA data protection updater’ (478 kb)

  • 10 Jan 2017

    AFME's response to the FCA Mission Statement (194 kb)

  • 10 Jan 2017

    AFME-BBA response to PRA CP34/16 SMCR Amendments and Optimisations (386 kb)

  • 10 Jan 2017

    AFME BBA response to FCA DP16/4 Overall Responsibility and the Legal Function (158 kb)

  • 10 Jan 2017

    AFME BBA response to FCA CP16/26 Guidance on the Duty of Responsibility and FCA CP16/27 Applying Conduct Rules to NEDs (187 kb)

  • 4 Jan 2017

    AFME Response to Consultation Paper FCA CP16/29 (Markets in Financial Instruments Directive II Implementation Paper III) (320 kb)

  • 7 Dec 2016

    Data protection updater 01.11.2016 – 01.12.16 (360 kb)

  • 9 Nov 2016

    AFME Response to HMT Consultation on the Transposition of the Fourth Money Laundering Directive (529 kb)

  • 9 Nov 2016

    AFME response to FSB Stocktake of Efforts to Strengthen Governance Frameworks to Mitigate Misconduct Risk Questionnaire (338 kb)

  • 18 Jul 2016

    AFME response to CONSOB consultation paper (373 kb)

  • 20 May 2016

    AFME-BBA response to FCA Consultation Paper CP16/13 (100 kb)

  • 10 May 2016

    AFME CMP 20160510 Letter to FCA on Applicability of the SMCR to Head of Legal (265 kb)

  • 25 Feb 2016

    AFME response to consultation on power of direction over qualifying parent undertakings by the PRA (119 kb)

  • 18 Feb 2016

    AFME/BBA joint response to FCA Consultation Paper CP15/38: Provisions to delay disclosure of inside information within the FCA’s Disclosure and Transparency Rules (90 kb)

  • 17 Feb 2016

    AFME Joint AFME/AFB/BBA Q&A document on the Senior Managers and Certification Regime (216 kb)

  • 23 Dec 2015

    AFME BBA joint correspondence to Information Commissioner following CJEU judgment in case of Schrems vs Data Protection Commissioner (644 kb)

  • 23 Dec 2015

    AFME BBA joint correspondence to the to the European Commission following the CJEU’s judgment in the case of Schrems vs Data Protection Commissioner (153 kb)

  • 11 Dec 2015

    AFME/BBA/FIA Europe/ISDA submission to the European Commission on drafting proposals for the MAR Technical Standards (196 kb)

  • 10 Dec 2015

    AFME BBA joint response to FCA Consultation Paper CP15/31 and PRA Consultation Paper CP36/15: Strengthening accountability in banking and insurance: regulatory references (405 kb)

  • 15 Oct 2015

    AFME/BBA/ISDA fundamental issues relating to the Market Abuse Regulation draft technical standards (234 kb)

  • 29 Sep 2015

    AFME BBA Letter to the FCA and PRA on the Applicability of the SMCR to the Legal Function within a Bank (156 kb)

  • 7 Sep 2015

    AFME BBA joint response to FCA Consultation Paper CP1522 - Strengthening accountability in banking - consultation in extending the Certification Regime to wholesale market activities (147 kb)

  • 10 Jul 2015

    AFME response to ESMA’s consultation on draft guidelines for the assessment of knowledge and competence (579 kb)

  • 17 Jun 2015

    AFME A joint response to the FCA's CP15/9: Strengthening accountability in banking: a new regulatory framework for indivduals (317 kb)

  • 27 May 2015

    AFME response to PRA consultation paper CP8/15: Engagement between External Auditors and Supervisors and Commencing the PRA's Disciplinary Powers over External Auditors and Actuaries (443 kb)

  • 27 May 2015

    AFME Response To Consultation Paper Pra Cp8 15 (443 kb)

  • 26 May 2015

    AFME response to FCA Discussion paper 15/3 on Developing our approach to implementing MiFID II conduct of business and organisational requirements (502 kb)

  • 22 May 2015

    AFME BBA joint response to the PRA and FCA's joint consultation on “Strengthening accountability in banking: UK branches of foreign banks” (235 kb)

  • 22 May 2015

    AFME response to FCA consultation paper CP15/4 and PRA consultation paper CP 6/15: Whistleblowing in deposit-takers, PRA-designated investment firms and insurers. (103 kb)

  • 24 Apr 2015

    AFME BBA joint response to FCA consultation paper CP15/15 and PRA consultation paper CP7/15: Approach to non-executive directors in banking and Solvency II firms and Application of the presumption of responsibility to Senior Managers in banking firms. (179 kb)

  • 26 Feb 2015

    AFME BBA joint response to the PRA and FCA's joint consultation on Strengthening accountability in banking - forms, consequential and transitional aspects (234 kb)

  • 16 Jan 2015

    AFME BBA joint response to Ministry of Justice Triennial Review of the Information Commissioner's Office (102 kb)

  • 6 Jan 2015

    AFME response to PRA consultation paper 20-14: Depositor Protection (125 kb)

  • 6 Nov 2014

    AFME response to FCA guidance consultation on social media and customer communications (508 kb)

  • 5 Nov 2014

    Reply form for ESMA MAR Technical standards (485 kb)

  • 3 Nov 2014

    AFME BBA joint response to the FCA's CP15/9: Strengthening accountability in banking: a new regulatory framework for indivduals (317 kb)

  • 3 Nov 2014

    AFME and BBA joint response to FCA consultation paper CP14/13 and FCA consultation paper CP14/14: Strengthening accountability in banking: a new regulatory framework for individuals (180 kb)

  • 29 Oct 2014

    AFME retrospective application of regulatory rules: FCA call for examples (86 kb)

  • 10 Oct 2014

    AFME discussion paper on FCA DP Dealing Commission (319 kb)

  • 29 Aug 2014

    GFMA IIF letter and supporting Oliver Wyman study to BCBS on treatment of equities under the NSFR (300 kb)

  • 30 Jan 2014

    AFME response to HM Treasury Balance of Competences Review (815 kb)

  • 27 Jan 2014

    AFME response to ESMA Discussion paper: Implementing measures under the Market Abuse Regulation (86 kb)

  • 27 Sep 2013

    AFME response to the FCA's approach to advancing its objectives (760 kb)

  • 20 Sep 2013

    AFME response to BIS proposal for public register of beneficial owners of corporates (564 kb)

  • 27 Aug 2013

    AFME response to EBA consultation on draft implementing technical standards on passport notifications under CRD IV (335 kb)

  • 26 Apr 2013

    AFME response to FSA consultation DP 13/1: Transparency (334 kb)

  • 25 Feb 2013

    AFME Consultation Comments Power of Direction final (119 kb)

  • 15 Feb 2013

    AFME response to ESMA/EBA consultation on principles for benchmarks-setting processes in the EU (100 kb)

  • 5 Feb 2013

    AFME response to CP12/30 Complaints against the regulators (126 kb)

  • 4 Feb 2013

    AFME response to CP12/35: The FCA’s use of temporary product intervention rules (117 kb)

  • 29 Jan 2013

    AFME response: CP12/34 FCA Handbook updates - supervision, threshold conditions, statement on FCA power of direction over qualifying parent undertakings (181 kb)

  • 12 Dec 2012

    AFME response to CP12/24 Regulatory reform: PRA and FCA regimes relating to aspects of authorisation and supervision (142 kb)

  • 6 Dec 2012

    AFME response: CP12/26 Regulatory reform: the PRA and FCA regimes for Approved Persons (146 kb)

  • 29 Nov 2012

    AFME response to EC consultation on regulation of Indices (90 kb)

  • 5 Oct 2012

    AFME response to ESMA consultation on exemption for market making and primary market operations on short selling (403 kb)

  • 31 Jul 2012

    AFME response to the EU Commission consultation on the review of the European System of Financial Supervision (ESFS) (326 kb)

  • 24 Jul 2012

    AFME response to ESMA Consultation Paper: Guidelines on certain aspects of the MiFID suitability requirements (143 kb)

  • 24 Feb 2012

    AFME Response to ESMA Consultation Paper: Guidelines on certain aspects of the MiFID suitability requirements (155 kb)

  • 27 Oct 2011

    AFME response to HM Treasury Consultation Document: A new approach to financial regulation: judgments, focus and stability (302 kb)

  • 14 Dec 2010

    AFME FOA joint response to CESR's Consultation on Understanding the Definition of Advice under MiFID (20 kb)

  • 23 Aug 2010

    AFME response to EU Commission consultation paper on modernisation of the Transparency Directive (206 kb)

  • 23 Aug 2010

    AFME response to EU Commission on Directive 2004/109/EC on the harmonisation of transparency requirements (206 kb)

  • 1 Jun 2010

    AFME BBA FOA joint response to CESR Technical Advice to the European Commission in the context of the MiFID Review - Investor Protection and Intermediaries (247 kb)

  • 14 Dec 2009

    AFME Joint AFME/ FOA Response to CESR's Consultation on Understanding the Definition of Advice under MiFID (20 kb)

  • 16 Sep 2009

    Joint Association Response to CESR Call for Evidence on Mutual Recognition of Non-EU Jurisdictions (168 kb)

  • 10 Jun 2009

    AFME SIFMA Guidelines for Compensation (34 kb)