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CP97: Integrated Prudential Sourcebook

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 CP97 has been superseded by its feedback documents: PS97_115, CP142, CP143.

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Quantifying operational risk in general insurance companies

A paper presented to the Institute of Actuaries in 2004. The paper is available online from my publications page.

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A Risk Management Standard

Produced by The Institute of Risk Management, in conjunction with ALARM (The National Forum for Risk Management in the Public Sector) and airmic (The Association of Insurance and Risk Managers). It is available from their website at http://www.theirm.org/publications/PUstandard.html.

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European Spreadsheet Risks Interest Group

This special interest group provides a forum for research on spreadsheets. Its website is at http://www.eusprig.org and includes an excellent collection of spreadsheet horror stories. EuSpRIG organises an annual conference on spreadsheet risks.

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CP140: The Interim Prudential Sourcebooks for Insurers and Friendly Societies and the Lloyd’s Sourcebook: Guidance on Systems and Controls

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.

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Restructuring of prudential and systems and controls material in the FSA Handbook

The FSA is restructuring the prudential and systems and controls material in the Handbook, because of the implementation of the Capital Requirements Directive. The details of the restructuring are given in http://www.fsa.gov.uk/pages/About/What/International/PSB/pdf/stages.pdf

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Financial Services Authority

The FSA is the regulatory authority for the financial services industry in the UK. Its website at
http://www.fsa.gov.uk contains all the public documents produced by the FSA, including consultation papers and the texts of speeches as well as the currently applicable Handbook of rules and guidance.