Prudential regulation

Prudential Rules for Personal Investment Firms

We engaged in the debate leading up to the FSA’s policy paper published in November 2009 (PS09/19) which set out changes to the capital resources and connected requirements required from 31 December 2011, with a transitional period lasting until 31 December 2013. These requirements cover all non-MiFID Personal Investment Firms.

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We will continue to take an interest and monitor developments in this area, and to encourage the FSA to communicate effectively with smaller firms to ensure that they are aware of the new requirements and act accordingly to be ready for the deadline.

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Thank you for providing comments. The SBPP will use this information to help inform its discussions on financial services regulation.

Related FSA information

Consultation Paper CP08/24

Consultation Paper CP 08/20

FSA related sites