Responses and Representations

February:

FSB: Leverage in Non-bank Financial Intermediation - 28 February

IOSCO: Revised Recommendations for Liquidity Management in Collective Investment Schemes - 11 February

HMT: UK Green Taxonomy - 6 February

Scottish Government: Digital Assets in Scots Private Law - 5 February

January:

MHCLG: LGPS: Fit for the Future - 16 January

DWP: Unlocking the UK Pensions Market for Growth - 16 January

HMT: IA response to Draft Legislation for PISCES - 9 January

December

HMT: IA response to Financial Services Growth and Competitiveness Strategy - 12 December

November

IFRS: IASB exposure draft on climate and other uncertainties in the financial statements - 28 November

October

FCA: Call for Input: Review of FCA requirements following the introduction of the Consumer Duty - 31 October 

UK Accelerated Settlement Taskforce: T+1 Settlement Draft Recommendations Report & Consultation - 31 October

Bank: DP Approach to innovation in money and payments - 30 October

FCA: CP24/16 DC Value for Money Framework - 17 October

FCA: CP24/12 New Public Offers and Admissions to Trading Regime - 17 October

FCA: CP24/18 Quarterly Consultation No. 45 - 11 October

ESMA: Consultation on RTS on Liquidity Management Tools under the UCITS & AIFMD - 8 October

ESMA: Consultation on Guidelines on Liquidity Management Tools on UCITS and Open-ended AIFs - 8 October

ESMA: Consultation on RTS on Order Execution Policy - 16 October (Responded through EFAMA) 

Global Foreign Exchange Committee: Request for Feedback on Amendments to the FX Global Code and Disclosure Cover Sheets - 25 October

September

HMT: Pensions Investment Review: Call for Evidence - 25 September

August

Basel Committee on Banking Supervision: Guidelines for Counterparty Credit Risk Management - 28 August

ESMA: Call for Evidence on the UCITS Eligible Assets Directive and Q20 Annex - 7 August

UK Parliament: FSRC Call for evidence-CP24/2: Our Enforcement Guide and publicising enforcement investigations—a new approach- 5 August

July

HMT: Treasury's Call for Evidence on the Tax Treatment of Carried Interest - 29 July

FCA: GC24/4: Proposed amendments to Guidance on the treatment of politically exposed persons- 18 July

June

FCA: Extending the Sustainability Disclosure Requirements (SDR) regime to Portfolio Management - 14 June

FRC: Market Study on UK Sustainability Assurance Market - 14 June

May

FCA: CP24/7 on investment research payment optionality - 31 May

FCA/BoE: Investment Association response to CP24/5 - Digital Securities Sandbox - 29 May

Transition Finance Market Review: Call for Evidence - 9 May

April

DWP: Options for Defined Benefit Schemes - 19 April

HMT: Consultation on Private Intermittent Securities and Capital Exchange System (PISCES) - 17 April

FCA: Wholesale Data Market Study Final Report - 12 April 

March

FCA: CP23/31: Primary Markets Effectiveness Review - Detailed Proposals for Listing Rules Reforms - 22 March

FCA:CP23/24: Capital deduction for redress: personal investment firms - 20 March

PRA: CP26/23 - Operational resilience: Critical third parties to the UK financial sector - 15 March

UK ETS: UK Emissions Trading Scheme: Future Markets Policy - 11 March

FCA: CP23/28: Updating the regime for Money Market Funds - 8 March

FCA: CP23/32: Improving Transparency for Bonds and Derivatives - 6 March

IOSCO: Voluntary carbon markets - 3 March

February

FCA: CP23/26 Implementing the Overseas Funds Regime - 12 February

Home Office: DRAFT guidance for the new corporate criminal offence of failure to prevent fraud - 9 February 

FCA: CP23/33: Consultation on Payments to Data Providers and forms for Data Reporting Services Providers - 9 February

ESMA: Consultation on Technical Advice on CSDR Penalty Mechanism - 28 February

January

FCA: Guidance on the anti-greenwashing rule - 26 January

HMT: The Investment Association's Spring Budget submission - 24 January

HMG: Leasehold Consultation Letter - 17 January

HMT: UK Retail Disclosure Framework - Draft SI and Policy Note - 10 January

HMT: Pension fund clearing exemption - call for evidence - 5 January

December

Transition Plan Taskforce: TPT Asset Managers Guidance - 20 December

European Commission: Review - Implementation of the Sustainable Finance Disclosure Regulation (SFDR) - 15 December

FCA & PRA: IA response to CP23/20 Diversity and Inclusion in the Financial Sector - 18 December

ESMA: IA response to ESMA Call for Evidence on Shortening the Settlement Cycle - 15 December

DESNZ: Scope 3 emissions in the UK reporting landscape: call for evidence - 14 December

IAASB: Proposed IAASB International Standard on Sustainability Assurance (ISSA) 5000 - 1 December

Taskforce on Social Factors (DWP secretariat): Draft Guidance on Considering Social Factors in Pension Scheme Investments - 1 December

October

DCMS & DLUHC: Technical Consultation on a Community Wealth Fund for England - 19 October

TAC (FRC secretariat): IFRS ISSB S1 and S2: Call for evidence on UK Endorsement - 11 October

DLUHC: LGPS: Next steps on investments - 2 October

September

FCA: Engagement Papers on New Regime for Public Offers and Admissions to Trading - 29 September

FCA: Update Report on Wholesale Market Data Study - 29 September

UK Parliament: The role of natural capital in the green economy - 22 September

Vote Reporting Group: Response to the Vote Reporting Group Consultation and Discussion Paper - 21 September

FCA: CP 2/15 The Framework for a UK Consolidated Tape - 15 September 

FRC: IA Response to FRC Consultation on Revisions to the UK Corporate Governance Code - 13 September

DWP: Options for Defined Benefit schemes: a call for evidence - 5 September

DWP/HMT: Pension trustee skills, capability and culture: a call for evidence - 5 September 

DWP: Helping savers understand their pension choices - 5 September

FSB: Addressing Structural Vulnerabilities from Liquidity Mismatch on Open-Ended Funds - Consultation Report - 4 September

IOSCO: Anti-dilution Liquidity Management Tools - Consultation Report - 4 September

Treasury Committee: Call for Evidence - Sexism in the City - 1 September

August

European Commission: IA response to ESG ratings proposals - 31 August

UK Parliament: Keeping the power on: our future energy technology mix - 25 August

HMRC: The Tax Administration Framework Review: Information and Data - 22 August

HMT: Digital Securities Sandbox - 18 August

DBT: Smarter regulation Non-Financial Reporting Review - 16 August

FCA: IA'S Final Response To PS 23/7 - FCA Questions on the exclusion of LTAFs from FSCS - 10 August

DESNZ: Strategy and Policy Statement for energy policy in Great Britain - 2 August

July

FCA: Expansion of the Dormant Assets scheme – second phase - 10 July

HMT: Financial Services Regulation - Measuring Success - Call for Proposals - 4 July 

June

HMT: Future regulatory regime for ESG ratings providers - 30 June

BoE & HMT: A Digital Pound - A new form of money for businesses and households? - 30 June

FCA: CP23/10 - Proposed Equity Listing Rules Reforms - 27 June

HMRC: Stamp Taxes on Shares Modernisation consultation - 22 June

DSIT: Regulation of artificial intelligence - 21 June

HMT & HMRC: Reserved Investor Fund consultation - 9 June

HM Treasury: SMCR Response to HMT Call for Evidence - 1 June

FCA/PRA: IA Response to FCA/PRA Joint Discussion Paper on SMCR DP1/23 - 1 June

TNFD: IA response to the Taskforce for Nature-related Financial Disclosures - 1 June

May

FCA: DP23/2: Updating and improving the UK regime for asset management - 22 May

FCA: DP23/1 Finance for positive sustainable change: governance, incentives and competence in regulated firms - 10 May

April

Financial Reporting Council: FRED 82 Draft amendments to FRS 102 The Financial Reporting Standard applicable in the UK and Republic of Ireland and other FRSs – Periodic Review - 30 April

HM Treasury: Future financial services regulatory regime for cryptoassets - 30 April

Treasury Committee: The Edinburgh Reforms Inquiry - 28 April

CMA: Draft Guidance on the application of Chapter 1 prohibition in the Competition Act 1998 to environmental sustainability agreements - 11 April

March

FCA: FCA Wholesale Data Market Study: Benchmarks, Credit Ratings Data and Market Data Vendors - 30 March

DWP: Value for Money: A framework on metrics, standards, and disclosures - 27 March

TPR: Defined Benefit pension scheme funding code - 24 March

ESMA: EMIR 3.0 - ESMA Request for Comment - 21 March

The Labour Party: National Policy Forum Consultation - 17 March

FCA: DP22/6: Future Disclosure Framework - 7 March

HM Treasury: Call for Evidence - Short Selling Regulation Review - 5 March

HM Treasury: PRIIPs and UK Retail Disclosure - 3 March

February

FRC: Competition Policy Paper - 28 February

FCA: CP22/24 - Broadening access to financial advice for mainstream investments - 28 February

Transition Plan Taskforce (TPT): Transition Plan Taskforce - Disclosure Framework and Implementation Guide - 28 February

ESMA: ESMA consultation on Guidelines on funds’ names using ESG or sustainability-related terms - 20 February

FRC: Consultation on Audit Committee Standard - 8 February

FCA: DP22/4 Artificial Intelligence  - 5 February

HMT & HMRC: VAT treatment of fund management - 3 February

January

FCA: CP22/20 - Sustainability Disclosure Requirements (SDR) and investment labels - 25 January

FCA: DP22/5: The potential competition impacts of Big Tech entry and expansion in retail financial services - 15 January

JMLSG: JMLSG Guidance Part II  - 13 January

November

FCA: CP22/18: Guidance on the trading venue perimeter - 25 November

October

BEIS: Net Zero Review: Call for evidence - 27 October

FRC: Funding the Audit, Reporting and Governance Authority - Consultation on the Financial Reporting Council proposals - 21 October

FCA: Broadening retail access to the long-term asset fund - 10 October

DCMS: Consultation on the English portion of dormant assets funding - 9 October

September

FCA: CP22/12 Improving Equity Secondary Markets - 16 September

Treasury Committee: Inquiry into the crypto-asset industry - 12 September

Global Impact Investing Network: Guidance for the Listed Equities Working Group - 12 September

August

FCA: CP22/11 Winding down 'synthetic' sterling LIBOR and US dollar LIBOR - 24 August

FCA: Winding down 'synthetic' sterling LIBOR and US dollar LIBOR - 24 August

FRC: Firm-level Audit Quality Indicators - 18 August

July

ISSB: IFRS S2 Climate-related Disclosures - 29 July

ISSB: IFRS S1 General Requirements for Disclosure of Sustainability-related Financial Information - 29 July

FCA: DP22/2: Primary Markets Effectiveness Review: Feedback to the discussion of the purpose of the listing regime and further discussion - 28 July

FCA: DP22/1 Resilience of Money Market Funds - 23 July

HM Treasury: Review of Solvency II - 21 July

HRMC: Expanding the Investment Transactions List for the Investment Management Exemption and other fund tax regimes - 18 July

Transition Plan Taskforce (TPT): A Sector-Neutral Framework for Private Sector Transition Plans - 13 July

IOSCO: Exchange Traded Funds – Good Practices for Consideration - 6 July

June

Environmental Audit Committee: The financial sector and the UK’s net zero transition - 30 June

European Commission: Withholding taxes – new EU system to avoid double taxation - 26 June

BEIS, HMT and DEFRA: Update to Green Finance Strategy: call for evidence - 22 June

DCMS: Online Advertising Programme consultation - 8 June

May

FRC: Proposed Public Interest Entity Auditor Registration Regulations - 26 May

FCA: CP22/8: protecting investors in authorised funds following the Russian invasion of Ukraine - 16 May

European Commission: Targeted consultation on the functioning of the money market fund regulation - 13 May

DWP: Facilitating investment in illiquid assets - 11 May

House of Commons: Accelerating the transition from fossil fuels and securing energy supplies - 6 May

April

ESMA: ESMA’s Opinion on the trading venue perimeter - 29 April

House of Commons: Call for evidence - Fraud Act 2006 Committee - 22 April

OECD: OECD Pillar Two – Implementation Framework - 11 March

DCMS: Proposal for legislation to improve the UK’s cyber resilience - 10 April

EU Commission: Proposed directive amendments to prevent the misuse of shell entities for tax purposes - 6 March

HMT: HM Treasury Pillar Two implementation - 4 April

March

IFRS: IASB Supplier Finance Arrangements - 28 March

FCA: CP22/2: Strengthening our financial promotion rules for high risk investments, including cryptoassets - 23 March

DCMS: Embedding standards and pathways across the cyber profession by 2025 - 20 March

IOSCO: IOSCO consultation report - Operational resilience of trading venues and market intermediaries during the COVID-19 pandemic - 14 March

HMT: Consultation on financial promotion exemptions for high net worth individuals and sophisticated investors - 9 March

FCA: FCA DP21/5: Compensation Framework Review - 4 March

HMT: The Appointed Representatives Regime: Call for Evidence - 3 March

FCA: Improving the Appointed Representatives regime - 3 March

February

FCA/BoE: EMIR Refit – “Changes to reporting requirements, procedures for data quality and registration of Trade Repositories under UK EMIR” - 17 February

FCA: A new Consumer Duty, feedback to CP21/13 and further consultation - 15 February

HMT: Future Regulatory Framework (FRF) Review: Proposals for Reform - 9 February

HMRC: HMRC Tax Treaty Network Review - 4 February

January

DWP: Consultation on enabling investment in productive finance - 18 January

FCA: DP21/4 Sustainable Disclosure Requirements (SDR) and investment labels - 7 January

DWP: Climate and investment reporting: setting expectations and empowering savers - 6 January

December

ESAs: Call for evidence on the European Commission mandate regarding the PRIIPs Regulation - 16 December

TPR: DP21/3: Driving value for money in defined contribution pensions - 10 December

October

FCA: CP21/24: Diversity and Inclusion on Company Boards and Executive Committees - 20 October

FCA: CP21/29: Proposed decisions on the use of LIBOR (Articles 23C and 21A BMR) - 20 October

DLUHC: Consultation on the Building Safety Levy - 15 October

HMT: Call for Evidence: Review of the UK’s AML/CTF regulatory and supervisory regime - 14 October

HMT: Amendments to the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 Statutory Instrument 2022 - 14 October

EU Commission: Debt Equity Bias Reduction Allowance - 7 October

September

FCA: CP21/23: PRIIPs - Proposed scope rules and amendments to Regulatory Technical Standards - 30 September

HMT: UK Prospectus Regime: a consultation - 24 September

FCA: CP21/16: A new UK prudential regime for MiFID investment firms - 17 September

FCA: CP21/18: Enhancing climate-related disclosures by standard listed companies and seeking views on ESG topics in capital markets - 10 September

FCA: CP21/17: Enhancing climate-related disclosures by asset managers, life insurers, and FCA-regulated pension providers - 10 September

July

FCA: CP21/13: A new Consumer Duty - 31 July

IFRS: Amendments to the IFRS Foundation Constitution to Accommodate an International Sustainability Standards Board - 28 July

BEIS: Restoring trust in audit and corporate governance: proposals on reforms - 8 July

BoE: Options for greening the Bank of England’s Corporate Bond Purchase Scheme (discussion paper) - 2 July

June

FCA: CP21/12: A new authorised fund regime for investing in long term assets - 25 June

May

FCA: CP21/7: A new UK prudential regime for MiFID investment firms - 28 May

FCA: CP21/10: Investor protection measures for special purpose acquisition companies: Proposed changes to the Listing Rules - 28 May

BEIS: Mandatory climate-related financial disclosures by publicly quoted companies, large private companies and LLPs - 5 May

April

HMT: Review of the UK funds regime: a call for input - 20 April

DWP: Incorporating performance fees within the charge cap - 16 April

March

HMT: UK regulatory approach to cryptoassets and stablecoins: consultation and call for evidence - 21 March

EBA: Draft Guidelines on sound remuneration policies under Directive (EU) 2019/2034 - 17 March

BoE: Working Group on Sterling Risk-Free Reference Rates consultation on successor rate to GBP LIBOR in legacy bonds referencing GBP LIBOR - 15 March

DWP: Taking action on climate risk: improving governance and reporting by occupational pension schemes - 12 March

February

HMT: HMT Financial Services Future Regulatory Framework Review Phase II Consultation - 14 February

FCA: CP20/24 A new UK prudential regime for MiFID investment firms - 5 February

FRC: Future of Corporate Reporting Discussion Paper - 3 February

BoE: Active transition of GBP LIBOR referencing bonds - 3 February

BEIS: Corporate transparency and register reform: improving the quality and value of financial information on the UK companies register - 3 February

EU Commission: Review of regulation on improving securities settlement in the European Union and on Central Securities Depositories - 3 February

January

EU Commission: Consultation on the AIFMD Review - 29 January

FCA: Benchmarks Regulation: our proposed new powers, policy and decision-making - 18 January

IFRS: Consultation paper and comment letters: Sustainability Reporting - 4 January

December

IFRS Foundation: Sustainability Reporting Consultation - 23 December

Department for Business, Energy & Industrial Strategy: National Security& Investment Bill: Mandatory Notification Regime - 22 December

HMRC: ISAs and Authorised Open-Ended Property - IA/AREF Joint Response - 11 December

November

Basel Committee on Banking Supervision: Principles for Operational Resilience - 6 November

FCA: CP 20/15 Liquidity mismatch in authorised open-ended property funds - 3 November

October

DWP: Improving outcomes for DC pension scheme members - 29 October

IOSCO: Use of AI & ML by asset managers - 26 October

HMT: Consultation on a new Economic Crime Levy - 13 October

IOSCO: Principles on Outsourcing - 1 October

FCA: CP20/3 Proposals to enhance climate related disclosures by listed issuers - 1 October

September

FCA: Guidance on Vulnerable Customers - 30 September

FCA: DP20/02 - A new UK prudential regime for MiFID investment firms - 25 September

FCA: Open Finance - 25 September

IIGCC: Net Zero Investment Framework - 25 September

FCA: CP20/09 - Driving value for money in pensions - 24 September

FCA: Operational Resilience - 24 September

Response to EBA consultations on the new Prudential Regime for Investment Firms - 4 September

• Final response to EBA/CP/2020/06
• Final response to EBA/CP/2020/07
• Final response to EBA/CP/2020/08
• Final response to EBA/CP/2020/09

ESAs: Joint Consultation on ESG Disclosure - 1 September 

ESMA: Harmonisation of Leverage Limits under Article 25 AIFMD - 1 September

August

European Commission CP: AML Action Plan - 25 August 

DWP: Call for evidence on the review of the DC default fund charge cap and standardised cost disclosure - 20 August

HMT: Consultation on updating the UK’s Prudential Regime before the end of the Transition Period - 19 August

July 

EU CP: Renewed Sustainable Finance Strategy - 15 July

DCMS: Expansion of the dormant assets scheme

EC consultation on amendments to MiFID, UCITS & AIFMD Draft Delegated Acts- 6 July

• Amendments to Delegated Regulation (EU) No 2312013- AIFMD
• Amendments to the Delegated Regulation (EU) 2017_565 
• Amendments to the Delegated Directive (EU) 2017_593 
• Amendments to Directive 201043EU- UCITS

DWP Consultation: Aligning your pension scheme with TCFD - 2 July

June 

EU CP: Non-Financial Reporting Directive - 11 June 2020

May

HMT: A Consultation on the Reform to Retail Prices Index Methodology - 15 May

March

OECD: BEPS Action 13 – Country by Country Reporting (CbCR) - 6 March

February

HMRC CP: Broadening Application of 5MLD to Trusts - 21 Feb

Representation for Spring Budget 2020 - 7 Feb

Standardisation of Reject Codes in FX Trading - 5 Feb

January

ESAs Joint Consultation Paper concerning amendments to the PRIIP KID - 13 Jan

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November

ESMA CP: MAR review - 29 November

FCA CP19/27: Quarterly Consultation Paper no 25 Chapter 3 COLL - 1 November

October

ESMA Consultation: Guidelines on performance fees in UCITS - 31 October

FCA CP19/25: Pension transfer advice: contingent charging and other proposed changes - 29 October

HMT Call for Evidence: Regulatory Coordination - 25 October

FCA FS19/5: Effective competition in non-workplace pensions - 8 October

FCA GC19/3: Fair treatment of vulnerable customers - 4 October

Risk Coalition Consultation: Principles and guidance for board risk committees and risk functions - 4 October

September

BEIS initial consultation on the CMA recommendations for the statutory audit market - 12 September

ESMA Call for Evidence: Impact of the inducements and costs and charges disclosure requirements under MiFID II - 6 September

DWP consultation on delivering the CMA recommendations for trustee oversight of investment consultants and fiduciary managers - 2 September

August

FCA Call for Evidence: Cross-Sector Sandbox - 30 August

July

ESMA Consultation: Guidelines for trade reporting under SFTR - 29 July

ICSA review of the effectiveness of independent board evaluation in the UK listed sector - 15 July

FCA CP19/15: Independent Governance Committees: extension of remit - 15 July

June

FCA CP19/12: Consultation on Investment Platforms Market Study remedies - 13 June

Independent review of the FRC: initial consultation on recommendations - 11 June

HMT consultation: Implementing the Fifth Money Laundering Directive (5MLD) - 10 June

May

Independent review into the quality and effectiveness of audit - 31 May

FCA CP19/10: Disclosing costs and charges to workplace pension scheme members and amendments to transaction costs methodologies - 28 May

April

FCA/FRC DP19/1: Building a regulatory framework for effective stewardship - 31 April

FCA CP19/05: Retirement Outcomes Review  - 5 April 

March

FRC consultation: New Stewardship Code - 29 March

DWP consultation: Investment innovation in Defined Contribution pensions - 28 March 

FCA CP19/7: Implementing parts of SRD II in the UK - 27 March

CMA consultation on The Investment Consultancy and Fiduciary Management Market Investigation Order 2019 - 13 March 

February

FCA DP18/10: Patient capital and authorised funds - 28 February 

FCA CP18/40: Changes permitted links rules for unit-linked funds - 28 February 

ESMA consultation: MMFR regulatory reporting guidelines - 14 February

January

BEIS Select Committee Inquiry into the future of audit - 11 January

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