ARCHIVED PUBLICATIONS - PRE JAN 08

 

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Current Publications - post Dec '07 


Accounting
Business Continuity
Compliance and Conduct of Business
Corporate Finance
Electronic Commerce and Data Protection
EU Issues
Financial Crime
Financial Regulation and Risk Management
Regulatory Reform
Securities Trading and Settlement
Taxation

If you require further details on any area please e-mail the appropriate Secretary.

 

Accounting  -  Contact: Ian Harrison

 

Business Continuity -   Contact: Paul Martin


Compliance and Conduct of Business  -  Contact: Peter Beales 
16.07.07 Retail Structured Products: Associations' Principles for managing the provider-distributor relationship
02.03.07 LIBA Response to FSA's CP07/3: regulatory fees and levies 2007/08 and Business Plan
23.02.07 Joint Association's Follow-up Response to FSA Consultation Paper 06/19: Reforming Conduct of Business Regulation: and Consultation Paper 06/20: Financial Promotion and Other Communications

       Annex I: Joint Industry Submission to the Commission:  Proposals for Interpreting Best Execution in MIFID - (combined in above Response)

      Annex II: Joint Industry Response to CESR Consultation: The Passport Under MIFID

     Annex III: Joint Industry Response to CESR Consultation: Inducements under MIFID 
09.02.07 House of Lords Select Committee on Regulators:  Inquiry into major sectoral and functional regulators
02.02.07 LIBA Response to FSA DP 06/5:  FSA confirmation of Industry Guidance
15.12.06 LIBA and other associations' response to CESR consultation on publication and consolidation of MIFID market transparency
28.11.06 LIBA/AFB/FOA/ICMA/ISDA/SIFMA Joint Response to FSA's CP06/19 and CP06/20:  Conduct of Business
26.10.06 LIBA/BMA/ICMA/ISDA Joint Response to FSA's DP on MiFID Client Categorisation
26.10.06 LIBA/BBA/ICMA/ISDA Joint Response to FSA's DP on Approved Reporting Mechanisms
26.10.06 LIBA/ICMA/ISDA/BMA/AFB/FOA/BBA Joint Response to FSA's CP 06/9:  Organisational Systems and Controls
06.09.06 LIBA Response to FSA's Consultation Paper 06/11:  Integrated Regulatory Reporting - Non-Financial Data Items
14.08.06 LIBA Response to FSA's DP 06/2:  FOS compulsory jurisdiction funding review
21.07.06 LIBA Response to FSA DP06/3:  Implementing MiFID's Best Execution Requirements
07.04.06 Response to HM Treasury's MiFID consultation
07.04.06 LIBA's response to FSA's (CP06/2): Regulatory fees and levies 2006/07 - Questions 9, 10 and 20
07.04.06 LIBA's response to the Review of Compensation Scheme and Ombudsman Service limits and miscellaneous amendments to the Compensation Sourcebook (CP 05/15)
07.04.06 Response to the Home Office Consultation Paper:  BRIBERY - Reform of the Prevention of Corruption Acts and SFO Powers in Cases of Bribery of Foreign Officials
07.04.06 LIBA's response to FSA's (CP06/2): Regulatory fees and levies 2006/07 - Questions 7, 8 and 22
07.04.06 LIBA's response to the Financial Ombudsman Service (FOS) Corporate Plan & 2006/07 Budget Consultation
07.04.06 LIBA's response to the Law Commission Project on Investment Securities
02.12.05 FSA's DP 05/4 - Hedge funds:  A discussion of risk and regulatory engagement
15.07.05 LIBA's response to IOSCO's Consultation Report on the "Compliance Function at Market Intermediaries"
10.06.05 LIBA's response to the UK Financial Services Authority: Consultation paper CP05/05
10.06.05 LIBA's response to the UK Financial Services Authority: Policy Statement PS04/23
25.04.05 LIBA's response to FSA's Consultation Paper 05/2: Regulatory fees and levies 2005/06:
                         Response
                         Annex

  
Corporate Finance  -  Contact: William Ferrari
12.11.07 LIBA submission to the Auditing Practices Board dated 12 November 2007 regarding the Exposure Draft SIRs 5000 - Investment Reporting Standards Applicable to Public Reporting Engagements on Financial Information Reconciliations
09.05.07 Private Equity: Treasury Committee's Inquiry into Private Equity Funds - Terms of Reference (see LIBA response)
20.03.07 Private Equity: FSA’s DP 06/06 
Discussion Paper concerning detailed description of the private equity sector and the risks inherent therein (see LIBA response)
03.03.06 LIBA's submission to the Takeover Panel re PCP 2005/5 - The Implementation of the Takeovers Directive
03.03.06 LIBA's submission to the Takeover Panel re PCP 2005/4 - Proposed Abolition of the Rules Governing Substantial Acquisitions of Shares
03.03.06 LIBA's submission to the Takeover Panel re PCP 2005/3 - Dealings in Derivatives and Options - Proposed Amendments to the Takeover Code
03.03.06 LIBA's response to the European Commission's Working Document ESC/34/2005 on the Implementation of the Transparency Directive
01.11.05 "Takeover Code --- Prescribed Summary of relevant Rule 8 provisions as required by Rules 2.4(a); 2.5(b)(ix); 2.6; 24.2(d)(xi)"


Electronic Commerce and Data Protection  -  Contact: Timothy Baker

   
   


EU Issues (also see Financial Regulation, Electronic Commerce, Accounting and Taxation)  -  Contact:  Timothy Baker


Financial Crime (Fraud, Money Laundering and Terrorist Funding)  -  Contact:  Paul Martin

   
   


Financial Regulation and Risk Management  -  Contact:  Katharine Seal or Diane Hilleard
26.03.07 Risk Based Capital NPR Industry Response
26.03.07 Joint Association's Response to IIMG 2nd Interim Report  26 March 2007
21.08.06 LIBA ISDA BBA Industry Report on Managing Concentrated Risk
17.05.06 Joint Industry Response to FSA re CP06/03 "Strengthening Capital Standards"
Covering letter
Response by LIBA, BBA and ISDA
03.03.06 BCBS Consultion Document on Home-Host information sharing for effective Basel II implementation
A response by BBA, ISDA and LIBA
Consultative Document
   
   


Regulatory Reform  -  Contact:  Peter Beales & Samantha Barrass


Securities Trading and Settlement  -  Contact:  John Serocold
05.10.07 Monitoring Compliance with the Code of Conduct dated 7 November 2006 - Meeting of the Monitoring Group (MOG) of 10 October 2007
06.07.07 Monitoring Compliance with the Code of Conduct dated 7 November 2006 - Access and Interoperability Guideline
08.06.07 Joint Association Response to the Committee of European Securities Regulators' consultation on non-equity market transparency
11.04.07 Monitoring Compliance with The Code of Conduct date 7 November 2006 - Final 11 April 2007
19.03.07 Letter from the members of the International Council of Securities Associations (ICSA) on IOSCO’s Consultation Report on Soft Commission Arrangements
07.03.07 Independent research on the European High Yield Bond Markets
06.03.07 Response to the Committee of European Securities Regulators' call for evidence on non-equities markets transparency
           Market Failure Analysis
           Call for Evidence
08.02.07 T2S Comment letter 31 January 2007
15.09.06 Response to the Commission's call for evidence on pre- and post-trade transparency provisions in non-equity markets.
11.07.06 "Competition in EU securities trading and post-trading" DG Competition Issues paper dated 24th May 2006: A response by the London Investment Banking Assoication
08.09.05 Investment banks call for action on derivatives exchange fees


Taxation (including VAT)  -  Contact:  Ian Harrison

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