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Archived Publications - pre Jan '08


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
20.04.09 LIBA response to IASB dated 17 April 2009 regarding Proposed FASB Amendments on Fair Value Measurement and Impairment
15.04.09 LIBA response to the IASB dated 14 April 2009 regarding Discussion Paper - Preliminary Views on Financial Statement Presentation
01.04.09 LIBA Comment to the IASC Foundation dated 31 March 2009 regarding IASCF Discussion Document: Review of the Constitution
20.03.09 LIBA response to the IASB dated 19 March 2009 regarding Exposure Draft ED10 - Consolidated Financial Statements
16.12.08 LIBA response to the IASB dated 15 December 2008 regarding Exposure Draft: Improving Disclosures about Financial Instruments
03.10.08 LIBA response to the IASB dated 3 October 2008 regarding IASB Expert Advisory Panel's 16 September 2008 - Draft Documents on Fair Value in inactive markets
30.09.08 LIBA response to the IASB dated 30 September 2008 regarding the IASB DP - Reporting Entity in the Conceptual Framework
29.09.08 LIBA response to the IASB dated 29 September 2008 regarding the IASB ED: Chapters 1 & 2 of the Conceptual Framework
19.09.08 LIBA comment to the IASB dated 19 September 2008 regarding their Discussion Paper on Reducing Complexity
19.09.08 LIBA letter to the IASC Foundation dated 19 September 2008 regarding Constitution Review
19.09.08 LIBA letter to EFRAG dated 19 September 2008 regarding Enhancement Proposals
29.08.08 LIBA Comment to IASB dated 29 August 2008 regarding DP: Financial Instruments with Characteristics of Equity
29.08.08 LIBA comment to CESR dated 29 August 2008 regarding CP: Fair Value Measurement and related disclosures of financial instruments in illiquid markets
26.02.08 LIBA response to the IASB dated 26 February 2008 commenting on the Exposure Draft of Proposed Amendments to IFRS 1 and IAS 27
22.02.08  LIBA response to CESR dated 22 February 2008 regarding the consultation paper on the equivalence of Chinese, Japanese & US GAAPS
24.01.08 LIBA response to the European Commission dated 24 January 2008 regarding endorsement of IAS 23 & IFRIC 12
10.01.08 LIBA response to the IASB dated 10 January 2008 commenting on the Exposure Draft ED 9 "Joint Arrangements"
10.01.08 LIBA response to IASB dated 10 January 2008 commenting on the Exposure Draft of Proposed Amendments to IAS 39 - Exposures Qualifying for Hedge Accounting
10.01.08 LIBA response to IASB dated 10 January 2008 commenting on the Exposure Draft of Proposed Improvements to International Financial Reporting Standards


Compliance and Conduct of Business  -  Contact: Peter Beales 
09.04.09 LIBA/BBA response to FSA's CP08/25: The Approved persons regime - significant influence function review
20.01.09 Response by the European Forum of Securities Associations dated 20 January 2009 to CESR's Call for Evidence (CESR/08 - 1010) concerning the Regulation of Short Selling by CESR
21.01.09 LIBA response to FSA's CP08/18: Fees and Levies
13.01.09 HM Treasury's Consultation "Special Resolution Regime: Safeguards for Partial Property Transfers" (CM7497)
20.08.08 Decision Procedure & Penalties manual/Enforcement Guide Review 2008 - CP08/10 - and OIVoP Proposals in DP08/3: Submission by the FSML CLG Enforcement Committee - August 2008
09.07.08  Joint Associations - Structured Products: Principles for Managing the Distributor-Individual Investor Relationship
     Principles
     Press Release
12.05.08 Industry Associations Release Exposure Draft of: "Structured Products: Principles for Managing Distributor-Individual Investor Relationship"
              Press Release
              Exposure Draft

  
Corporate Finance  -  Contact: William Ferrari
01.10.09 Joint LIBA/SIFMA response to HM Treasury dated 1 October 2009 regarding the Walker Review of Corporate Governance in UK Banks and other Financial Entities
30.09.09 Joint LIBA, SIFMA, ISDA and ISLA response to CESR dated 30 September 2009 regarding the CESR Proposal for a Pan European Short Selling Disclosure Regime
25.09.09 LIBA submission to the Takeover Panel dated 25 September 2009 regarding PCP 2009/2 - Miscellaneous Code Amendments
21.04.09 Joint LIBA/SIFMA response to the FSA dated 10 March 2009 regarding CP08/21: Amendments to the Listing rules and Feedback on DP08/01
21.04.09 Joint SIFMA/LIBA response to the European Commission dated 10 March 2009 regarding the review of Directive 2003/71/EC on the Prospectus
26.01.09 Joint LIBA/ISDA response to the FSA dated 23 January 2009 regarding CP08/17: Disclosure of Contracts for Difference
26.01.09 Joint LIBA/SIFMA response to the FSA dated 26 January 2009 regarding CP09/4: Rights Issue Subscription Periods
08.08.08 Joint LIBA/SIFMA letter to the FSA dated 31 July 2008 regarding FSA Short Selling Disclosure Regime - Practical Concerns
12.02.08 LIBA response to the FSA dated 12 February 2008 regarding CP07/20 - Disclosure of Contracts for Differences


EU Issues (also see Financial Regulation, Electronic Commerce, Accounting and Taxation)  -  Contact:  Mark Hart
05.10.09 LIBA Briefing Paper on impact of MIFID on Equity Markets
30.07.09 LIBA, APCIMS and BBA joint response to CESR Consultation on Complex and Non-Complex Instruments
10.07.09 LIBA, SIFMA and ISDA Comments on Commission Communication on European Financial Supervision
09.04.09 LIBA, SIFMA, ISDA response to EC Commission "Driving European Recovery" and de Larosiere Report
09.01.09 Joint LIBA, ASSOSIM, BBA, BWF, DSDA, FFFS, IFSA, NSDA, SIFMA, SSDA Response to CESR's Call for Evidence on the Impact of MIFID on Equity Secondary Markets
23.12.08 LIBA, SIFMA, and FOA Briefing for the de Larosiere High Level Group
19.12.08 Industry Initiatives to Increase Transparency in the European Securitisation Markets - Pillar 3
             Press Release
             Industry Good Practice Guidelines
             Summary Feedback Statement
05.12.08 LIBA/BBA/ICMA/Xtrakter Joint Response to CESR Call for Evidence on Transaction Reporting
07.11.08 Global Regulatory Modernisation: Key Objectives and Principles
08.10.08 EFSA Response to European Commission Call for Evidence on MIFID Transposition
18.07.08 LIBA and 14 other Associations' response to EC DG Markt consultation on amendments to Level 3 Committee Decisions
16.07.08 Joint Associations' Submission on 10% Retention Proposal
15.02.08 LIBA response to European Commission consultation on Code of Conduct for Interest Representatives
08.02.08 Summary of European Industry Commitments to the European Commission regarding Transparency in the European Securitisation Market
21.01.08 Joint Associations' response to CESR's consultation paper on improving the functioning of the MIFID database
18.01.08 Joint Associations' response to 3L3 consultation on Medium Term Work Programme


Financial Crime (Fraud, Money Laundering and Terrorist Funding)  - 
Contact:  Denis O'Connor


Financial Regulation and Risk Management  -  Contact:  Diane Hilleard
23.09.09 Response to CEBS CP 27 on Implementation Guidelines regarding Hybrid Capital Instruments
10.09.09 Joint Trade Associations' Response to CEBS CP26: Consultation paper on CEBS's draft implementation guidelines on the Revised Large Exposures Regime
23.07.09 LIBA response to HMT IB Insolvency Paper
10.07.09 Joint response to CEBS CP24: High-level principles for Risk Management
18.06.09 LIBA response to FSA Dp09/2: A Regulatory response to the Global Banking Crisis
- Letter to Hector Sants, FSA
- LIBA Response
31.03.09 Joint Trade Associations reply to CP08/24: Stress & Scenario Testing
09.03.09 LIBA, SIFMA, ICMA, ISDA, FOA, IIAC Briefing for the London Summit
09.03.09 Joint Industry Trade Association's Response to the FSA's CP08/22: Strengthening Liquidity Standards
13.01.09 HM Treasury's Consultation "Special Resolution Regime:  Safeguards for Partial Property Transfers" (CM7497)
19.12.08 Industry Initiatives to Increase Transparency in the European Securitisation Markets - Pillar 3
             Press Release
             Industry Good Practice Guidelines
             Summary Feedback Statement
02.07.08 Joint Association Consultation: CRD Pillar 3 Good Practice Guidelines
        Letter to Commissioner McCreevy for CRD Pillar 3
        CRD Pillar 3 Good Practices Guidelines
        CRD Pillar 3 Disclosure Questionnaire & Survey Results
        Comparative Analysis of CRD Pillar 3 Requirements 
02.07.08 Industry Initiatives to Increase Transparency in the European Securitisation Markets
    Joint Press Release
    Executive Summary
10.06.08 Joint Associations Response to the European Commission Consultation on proposed amendments to Capital Requirements Directive
       Letter to European Commission
       Executive Summary
       Large Exposures
       Hybrid Capital Instruments
       Supervisory Arrangements
       Securitisation
       Technical Amendments
08.02.08 Summary of European Industry Commitments to the European Commission regarding Transparency in the European Securitisation Market


Regulatory Reform  -  Contact:  Peter Beales 
23.07.09 LIBA response to HMT IB Insolvency Paper
22.06.09 Migration Advisory Committee Call for Evidence - Tier 1, Tier 2 and dependants under PBS
09.03.09 LIBA, SIFMA, ICMA, ISDA, FOA, IIAC Briefing for the London Summit
13.01.09 HM Treasury's Consultation "Special Resolution Regime:  Safeguards for Partial Property Transfers" (CM7497)
17.11.08 Memorandum from the London Investment Banking Association to the Treasury Committee on Incentive Structures and Executive Remuneration in the Banking Sector
12.09.08 Financial Stability and Depositor Protection: July Consultation Papers (Cm 7436 & Cm 7459) - Submission by LIBA
08.09.08 LIBA response to US SEC Proposed Rule for Exemption of Certain Foreign Brokers or Dealers (Release No. 34-58047; file no. S7-16-08)
25.04.08 Financial Stability - Submission by LIBA
23.04.08 Tripartite Authorities Consultation Paper "Financial Stability and Depositor Protection: Strengthening the Framework" - Submission by LIBA
31.03.08 LIBA response to the Department for Business, Enterprise & Regulatory Reform Consultation on Good Guidance
   ICSA Principles for Better Regulation
   Market Failure Analysis
 


Securities Trading and Settlement  -  Contact:  John Serocold
05.10.09 LIBA Briefing Paper on impact of MIFID on Equity Markets
31.08.09 ISDA - LIBA - SIFMA reponse to Commission Consultation Document " Possible initiatives to enhance the resilience of the OTC Derivatives Markets"
23.07.09 LIBA response to HMT IB Insolvency Paper
22.05.09 Joint Statement and Associated Presentation in order to raise awareness regarding the new SWIFT Message Format for Cover Payments

- Presentation Slides
14.05.09 Letter to European Central Bank - views emerging from the UK National User Group dated 14th May 2009
19.02.09 European Commission Consultation Paper on Hedge Funds 

- EFSA Response to CESR's Call for Evidence re: Regulation of Short Selling
- Impact of Short Sales Restrictions
- Letter to FSA re: Rights Issues
20.01.09 Response by the European Forum of Securities Associations dated 20 January 2009 to CESR's Call for Evidence (CESR/08 - 1010) concerning the Regulation of Short Selling by CESR
25.09.08 Joint Associations' Response to CESR Paper 08-643
21.01.08 Report to the MOG 21 January 2008


Taxation (including VAT)  -  Contact:  Val Price
23.04.09 LIBA Budget Note dated 23 April 2009
09.03.09 LIBA response to HMRC dated 6 March 2009 regarding Proposed Changes to the Taxation of Foreign Profits
21.09.08 LIBA letters to the Financial Secretary dated 22 August 2008 & 13 October 2008 and their reply of 21 September 2008 regarding EC VAT Evasion Measures
22.10.08 LIBA letter to HMRC dated 22 October 2008 regarding Changes to Corporation Tax Rules on the Late Payment of Interest between Connected Parties
13.10.08 LIBA letter to the European Commission dated 13 October 2008 regarding City Group Comments on the 15 September Report to the Council
28.05.08 Letter to HMRC dated 28 May 2008 regarding European Sales Listings & Monthly VAT Returns
 13.03.08  Letter from LIBA to the Chief Secretary to the Treasury dated 21 February 2008 regarding HMT Consultation on Residence and Domicile
13.03.08 Letter from LIBA to HM Treasury dated 21 February 2008 regarding HMT Consultation on Residence and Domicile
13.03.08 LIBA's Annual Review of Taxation - 2007/08
28.02.08 LIBA response to HMRC dated 28 February 2008 regarding HMT/HMRC's Consultation Document on a principles-based approach to financial products avoidance

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