Policy Papers and Research 2003  

To search Policy position & reseach papers - click here to choose from the various topic or recipient sections

Role of CESR in the regulation and supervision of UCITS and Asset Management activities in the EU
-  IMA Response (December  2003) 

Written evidence to the Treasury select committee inquiry into "The Child Trust Fund"
- IMA Submission (November 2003)

CP 185: Collective Investment Scheme Sourcebook Review
- Final Response  (November 2003) 
- Appendix 1 Response  (November 2003) 
- Appendix 2 Response  (November 2003) 
- Appendix 3 Response  (November 2003) 
- Appendix 4 Response  (November 2003)

CP 194: Amendments to the Training and Competence Sourcebook 
-Cover Letter  (November 2003) 
-IMA Response  (November 2003)  

CP 176: Bundled Brokerage and Soft Commission Arrangements
- Final Response October 2003
- IMA Responses to the specific questions raised in CP 176 October 2003

CESR- ESCB Standards for Securities Clearing and Settlement Systems in the EU
-  IMA Response (October 2003)

CP 183: Standardising Past Performance
- Final Response Response  (September 2003)  

Oral Evidence to the Trade & Industry Select Committee on "Rewards for Failure" (July 2003)

Written evidence to the House of Lords Sub-Committee inquiry into the European Commission's Financial Services Action Plan - IMA submission
(June 2003) 

CP 173: Consolidated Supervision
- Final Letter  (June 2003)
- Final Response  (June 2003)

CP 171"Investment Research:  Conflicts of Interest"
- Final Response  (May 2003)

HM Treasury and DWP Consultation Paper on the proposed specifications for Sandler "Stakeholder" products
-  IMA Response (May 2003)

Written evidence to the Trade & Industry Select Committee on "voting on investee companies' shares and investee companies' directors' contracts of employment"
- IMA response (May 2003)

Accounting Standards Board - Exposure Draft Amendment to FRS5
-IMA response (May 2003)

Proposed specifications for Sandler "Stakeholder" products
-  IMA Response (May 2003)

Heinemann Research
Heinemann Report  (May 2003)
IMA position paper (May 2003)
Executive Summary (May 2003)

HM Treasury and Inland Revenue Consultation Paper on "Simplifying the taxation of pensions: increasing choice and flexibility for all"
-  IMA Response (April 2003)
-  HMT Consultation Document (December 2002)

HM Treasury Paper "The Financial System & Major Operational Disruption"
-  IMA Response (April 2003) 

International Accounting Standards Board - ED3: Business Combinations
- Response to ASB (April 2003)
- Response to IASB (April 2003)

CP 169: Professional Indemnity Insurance for Personal Investment Firms
- Final Response  (April 2003)

CP 168: Fees 2003/2204
- Final Response  (April 2003)

CP 163  "The UCITS Management Directive"
-  IMA Response  (April 2003)

Discussion Paper 21: Implementation of the Distance Marketing Directive
-  IMA Response  (April 2003)

CP 164  "Regulation of Investment Companies (Investment Trusts)"
-  IMA Response  (April 2003)

CP 170: Informing consumers: product disclosure at the point of sale
- Final Response (April 2003)

CP 166 "Reforming Polarisation - Removing the Barriers to Choice"
- Final Response (April 2003)
 
Discussion Paper 19: Options for Regulating the Sale of  "Simplified Investment Products"
-  IMA Response (April 2003)

The Financial System & Major Operational Disruption"
-  IMA Response (April 2003)

Simplicity, Security and Choice: Working and Saving For Retirement
-  IMA Response (March 2003) 

Financial Capability
-  IMA Response (March 2003)

CP 157: Examination Framework for Retail Financial Services
- Final  Letter  (March 2003)
- Final Response  (March 2003)
- Appendix 1  (March 2003)
- Appendix 2  (March 2003)
- Appendix 3  (March 2003)
- Appendix 4  (March 2003)

Accounting Standards Board - Share-based Payment
- FRED 31 (March 2003)
- ED2 (March 2003)

DWP Green Paper "Simplicity, Security and Choice: Working and Saving For Retirement"
-  IMA Response (March 2003)

Financial Capability
-  IMA Response (March 2003)

Review of the Role and Effectiveness of Non-Executive Directors
-  IMA Submission (February 2003)
-  IMA Submission (September 2002 

EC's Proposed Directive on Investment Services and Regulated Markets
-  IMA Comments  (February 2003) 
-  IMA Attachment (February 2003) 

CP 135: Limited Issue and Guaranteed/Capital Protected Funds
-  Limited Issue Funds Response  (January 2003)
-  Guaranteed/ Capital Protected Funds Response  (January 2003)

CP 153  "Alternative Trading Systems"
-  IMA Response  (January 2003)
 
Discussion Paper 17  "Short Selling"
-  IMA Response  (January 2003)

CP 154: Best Execution
-  IMA Final Letter  (January 2003)
-  IMA Final Response  (January 2003)