Author: Louise Pryor

This entry, which describes an external link, was imported from my old website which is now defunct. I’ve therefore given it an artificial post date of 1 August 2002.

Despite its title, this report can be seen as the third in the Building the new Regulator series issued by the Financial Services Authority. It was issued in October 2002. It sets out the regulatory agenda (for insurance firms) for the next few years, and is a result of the so-called Tiner project. It emphasises that firms should realise that the new style of regulation means that they should modernise their governance and risk management frameworks, and their systems and controls. Half a dozen areas of particular concern are highlighted. The report is available at http://www.fsa.gov.uk/pubs/policy/bnr_progress3.pdf.

This entry, which describes an external link, was imported from my old website which is now defunct. I’ve therefore given it an artificial post date of 1 August 2002.

This is the precursor to the Building the new Regulator series of reports issued by the Financial Services Authority. It describes the FSA’s statutory objectives and its approach to regulation, including the operating framework and regulatory tools. The report, which was published in January 2000, is available at http://www.fsa.gov.uk/pubs/policy/p29.pdf.

This entry, which describes an external link, was imported from my old website which is now defunct. I’ve therefore given it an artificial post date of 1 August 2002.

Consultation paper 142 from the FSA contains feedback on the operational risk and systems and controls sections of CP97, and contains new draft guidance. It is available at http://www.fsa.gov.uk/Pages/Library/Policy/CP/2002/142.shtml. It was issued in July 2002 and the consultation period ended on 31st October 2002.

This entry, which describes an external link, was imported from my old website which is now defunct. I’ve therefore given it an artificial post date of 1 August 2002.

Consultation paper 143 from the FSA contains feedback on some of CP97. There are two areas on which the FSA is consulting again: credit risk for insurers, and final bonuses on with-profits policies. It is available at http://www.fsa.gov.uk/pages/Library/Policy/CP/2002/143.shtml. It was issued in July 2002 and the consultation period ended on 31st October 2002.

This entry, which describes an external link, was imported from my old website which is now defunct. I’ve therefore given it an artificial post date of 1 August 2002.

This policy statement from the FSA was issued after feedback on CP97 and CP115. It was issued in July 2002 and is available at http://www.fsa.gov.uk/pages/Library/Policy/Policy/2002/ps115_97.shtml.

This entry, which describes an external link, was imported from my old website which is now defunct. I’ve therefore given it an artificial post date of 1 August 2002.

Consultation paper 97 from the FSA is a massive document, presenting the draft Integrated Prudential Sourcebook. It is available at http://www.fsa.gov.uk/Pages/Library/Policy/CP/2001/97.shtml. It was issued in June 2001 and the consultation period ended on 31st December 2001. CP115 was a supplementary CP to CP97. CP97 has been superseded by its feedback documents: PS97_115, CP142, CP143.

This entry, which describes an external link, was imported from my old website which is now defunct. I’ve therefore given it an artificial post date of 1 August 2002.

Consultation paper 140 from the FSA sets out guidance on •high-level controls; • risk assessment; • legal risk; • internal audit; • management information; • outsourcing; and • group risk. This guidance will take effect before the Prudential Sourcebook is implemented in 2004. It is available at http://www.fsa.gov.uk/Pages/Library/Policy/CP/2002/140.shtml. It was issued in July 2002 and the consultation period ended on 3rd October 2002. PS140 is the result of the consultation.

This entry, which describes an external link, was imported from my old website which is now defunct. I’ve therefore given it an artificial post date of 1 August 2002.

Policy statement 140 from the FSA sets out guidance on •high-level controls; • risk assessment; • legal risk; • internal audit; • management information; • outsourcing; and • group risk. This guidance was issued in December 2002 and is available at http://www.fsa.gov.uk/Pages/Library/Policy/Policy/2002/ps140.shtml. It takes effect from 1st February 2003.

This entry, which describes an external link, was imported from my old website which is now defunct. I’ve therefore given it an artificial post date of 1 August 2002.

The FSA maintain a list of current consultation and discussion papers at http://www.fsa.gov.uk/pages/Library/Policy/CP/current/index.shtml.

This entry, which describes an external link, was imported from my old website which is now defunct. I’ve therefore given it an artificial post date of 1 August 2002.

This paper, by Ray Butler of H.M. Customs and Excise, summarises the audit experience, describes the methodology and outlines the results to date of a campaign of spreadsheet testing started in July of 1999. Of the seven spreadsheets selected for audit, six contained significant errors. It was published in the proceedings of the 33rd Hawaii International Conference on System Sciences in 2000, and is available at http://www.eusprig.org/hicss33-butler-evader.pdf.