Consultations
Response
Additional Documents
- Annex 1 Draft Amendments to the Notice on Minimum Entry and Examination Requirements for Representatives of LFAs and Exempt Financial Advisers (276.8 KB)
- Annex 2 New Notice on Continuing Financial Requirements for LFAs (54.8 KB)
- Annex 3 First Draft Amendments to the FA Regs (135.7 KB)
- Annex 4 Draft Amendments to Form 15 under the FAA and FA Regs (73.7 KB)
- Annex 5 Draft Amendments to the Guidelines on Criteria for the Grant of a Financial Advisers Licence (85.9 KB)
- Annex 6 Second Draft Amendments to the FA Regs (145.8 KB)
- Annex 7 New Form 29 under the FAA and FA Regs (45.2 KB)
- Annex 8 New Form 30 under the FAA and FA Regs (42.2 KB)
- Annex 9 New Form 31 under the FAA and FA Regs (38.8 KB)
- Annex 10 Draft Amendments to Form 26 under the FAA and FA Regs (77 KB)
- Annex 11 Draft Amendments to Form 27 under the FAA and FA Regs (75 KB)
- Annex 12 New Notice on Requirements for Registered Insurance Brokers Exempt from Holding a Financial Advisers Licence (66.6 KB)
- Annex 14 Draft Financial Advisers Amendment Bill 2015 (80.4 KB)
- Annex 15 Draft Amendments to the Notice on Appointment and Use of Introducers by Financial Advisers (125.8 KB)
- Annex 16 Draft Insurance Amendment Bill 2015 (42.8 KB)
- Annex 17 New Financial Advisers Remuneration and Incentive Regulations (54.9 KB)
- Annex 18 New Insurance Remuneration Regulations (41.7 KB)
- Annex 19 New Notice on Requirements for the BSC Framework and Independent Sales Audit Unit (326.4 KB)
- Annex 20 New Guidelines on the BSC Framework Reference Checks and Pre Transaction Checks (214.4 KB)