View this consultation in the FCA tracker table
Once a quarter, we consult on proposed miscellaneous amendments to our Handbook. These tend to be minor changes but we still want to get your feedback on our proposals.
What we are consulting on this quarter
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Introduction of criminal background checks on owners and controllers at the Authorisation’s gateway.
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Changes to SUP 11.3.1BG and delete SUP Annex 6G following our recent consultation on proposed non-Handbook guidance for the prudential assessment of acquisitions and increases in control.
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Changes reflecting amendments that the Treasury made to the UK MiFID delegated regulation in the Handbook.
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Delete COLL 5.2.30R(1)(c) so that the provisions in COLL 5.2.29R apply at the sub-fund level of an umbrella Collective Investment Scheme (CIS) investing in units of other CIS.
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Clarification that the 25% limit set out in COLL 5.2.29R(3) must be applied at the level of the individual sub-funds of an umbrella CIS when it