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Consultations - Closed

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TopicDocument TypeOriginal Date IssuedDate for responses to Consultation PaperDownload DocumentFSC Contact
Proposals to amend the Financial Services Act and Collective Investment Schemes ActClosed Consultation4 March 201115 April 2011Susan Woolard
Review of Financial Services LegislationClosed Consultation6 July 201031 August 2010Shirley Corlett
Review of Authorised Collective Investment Schemes Regulations - “FINAL DRAFT”Closed Consultation30 July 2010Tracked changes version incorporating final FSA changes – no further comments requiredShirley Corlett
Revisions to civil penalties for late returnsClosed Consultation30 July 201010 September 2010Susan Woolard
Review of Authorised Collective Investment Schemes Regulations Closed Consultation1 March 20107 May 2010Shirley Corlett
Proposed Oversight of Recognised Auditors under Statutory Audit Directive (2006/43/EC)Information21 October 2009Not applicableRoxanne Oldham
Treasury Share RegulationsClosed Consultation5 February 201019 February 2010Roxanne Oldham
Financial Services Legislation approved by Tynwald

Final Version23 November 2009Not applicableShirley Corlett
Limited Partnerships - Optional Separate Legal PersonalityClosed Consultation23 October 20094 December 2009Gillian Prestwich
Consultation on the Review of Collective Investment Schemes Legislation Closed Consultation22 October 200918 December 2009Claire Whitelegg
Review of Financial Services Legislation

Consultation Comments and updated Draft Legislation for Information

Closed Consultation (UPDATE)29 June 2009 Not applicableShirley Corlett
Consultation on the Review of Financial Services LegislationClosed consultation29 June 200910 August 2009Shirley Corlett
Auditor oversight to satisfy the terms of the EU Statutory Audit Directive (2006/43/EC)Closed consultation30 March 20098 May 2009Gillian Prestwich
Discussion document: the 2009 review of the Supervisory Approach Closed consultation9 March 200914 April 2009Paul de Weerd
A Consultative Paper on the draft Financial Services (Gateways) Order 2008Closed consultation25 November 200812 December 2008Gillian Prestwich
Consultation on the Financial Services (Appointment of a Manager) OrderClosed consultation1 September 200810 October 2008Shirley Corlett
CAROL 10 - Industry Comments on the consultative paper on the Regulated Activities Order and Exemption Regulations and Publication of the entire Financial Services Rule Book including the Interpretation ScheduleClosed consultation28 April 20086 May 2008Shirley Corlett
CAROL 9 – Information and consultation on the secondary legislation under the Financial Services BillClosed consultation28 April 2008 Nicola Barfoot
Consultation on the Collective Investment Schemes (Definition) Order 2008Closed consultation25 March 200825 April 2008DocumentClaire Whitelegg
Options for change to the Depositors’ Compensation SchemeClosed consultation6 March 200831 March 2008Susan Woolard
Further consultation on the Anti-Money Laundering (“AML”) and Countering the Financing of Terrorism (“CFT”) Handbook and the Financial Services (Money Laundering and Financing of Terrorism) Rule Book [2008]Closed consultation4 February 200829 February 2008Paul Heckles
CAROL 8 – Further Consultation on the Regulated Activities Order and Exemption RegulationsClosed consultation17 January 200815 February 2008DocumentShirley Corlett
CAROL 7 – Further Consultation on the Financial Services Rule BookClosed consultation17 January 200815 February 2008Document
    		Shirley Corlett
    Companies Amendment Bill Consultation PaperClosed consultation4 January 200815 February 2008Liz Berry
    Consultation on the regulation of Money Service Businesses including e-money providers Closed consultation17 December 20078 February 2008DocumentDavid Hodgson
    CAROL 6 - Further Consultation on the Financial Services Rule Book Closed consultation4 December 200731 January 2008DocumentShirley Corlett
    Company Officers Disqualification Bill 2007Closed consultation16 October 200711 December 2007Liz Berry
    Consultation on the Collective Investment Schemes Bill 2007Closed consultation28 September 20072 November 2007DocumentClaire Whitelegg
    CAROL 5 – Further Consultation on the Financial Resources and Audit Requirements Chapters of the Rule BookClosed consultation24 September 200716 November 2007Shirley Corlett
    Licensing Policy for certain Functionaries of Collective Investment SchemesClosed consultation21 September 200719 October 2007Discussion DocumentClaire Whitelegg
    Anti-Money Laundering (“AML”) and Countering the Financing of Terrorism (“CFT”) Handbook; and Consultation on the Financial Services (Money Laundering and Financing of Terrorism) Rule Book [2008]Closed consultation21 September 200716 November 2007Paul Heckles
    Policy Statement on Hedge Fund ValuationClosed consultation2 August 200721 September 2007Discussion DocumentClaire Whitelegg
    Specialist and Qualifying Investor FundsClosed consultation1 August 2007 DocumentClaire Whitelegg
    Regulation of Money Service BusinessesClosed consultation4 May 2007 DocumentDavid Hodgson
    CAROL 4 – Consultation on the Financial Resources and Audit Requirements Chapters of the Rule BookClosed consultation16 April 2007 DocumentShirley Corlett
    CAROL 3 - Consultation on the Financial Services BillClosed consultation21 December 2006 Liz Berry
    A Discussion Paper on Proposals for the Regulation of Electronic Money ProvidersClosed consultation14 December 2006 David Hodgson 01624 689380
    CAROL 2 - Proposals for Regulated Activities, Exclusions and ExemptionsClosed consultation1 June 2006 Shirley Corlett - 01624 689323
    CAROL 1 - Review and Consultation of the Financial Services Regulatory LegislationClosed consultation6 March 2006 Jane Bates 01624 689334

    TopicDocument TypeDate of responses for Consultation PaperDownload DocumentContact
    Financial Supervision (Experienced Investor Fund) (Exemption) (Amendment) Order 2007 For information only DocumentClaire Whitelegg
    Financial Supervision (Qualifying Fund) (Exemption) Order 2007 For information only DocumentClaire Whitelegg
    Financial Supervision (Specialist Fund) (Exemption) Order 2007 For information only DocumentClaire Whitelegg
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