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  • SUP 1A.3 The FCA's approach to supervision

    This piece of Handbook content was changed by an instrument this month.

    Changes to this piece of Handbook content became effective this month.

    Effective Date: 24th April 2019

    SUP 1A.3 The FCA's approach to supervision

  • FCA 2019/67: Supervision Manual (Supervisory Principles Amendment) Instrument 2019

    This instrument was made in the last month.

    Publish Date: 24th April 2019

    FCA 2019/67: Supervision Manual (Supervisory Principles Amendment) Instrument 2019

  • FCA 2019/57: Financial Conduct Authority Technical Standards (Bank Recovery and Resolution Directive) (EU Exit) Instrument 2019

    This instrument was made in the last month.

    Publish Date: 18th April 2019

    FCA 2019/57: Financial Conduct Authority Technical Standards (Bank Recovery and Resolution Directive) (EU Exit) Instrument 2019

  • FCA 2019/59: Financial Conduct Authority Technical Standards (Financial Conglomerates Directive) (EU Exit) Instrument 2019

    This instrument was made in the last month.

    Publish Date: 18th April 2019

    FCA 2019/59: Financial Conduct Authority Technical Standards (Financial Conglomerates Directive) (EU Exit) Instrument 2019

  • FCA 2019/64: Technical Standards (Markets in Financial Instruments Directive) (EU Exit) (No 3) Instrument 2019

    This instrument was made in the last month.

    Publish Date: 18th April 2019

    FCA 2019/64: Technical Standards (Markets in Financial Instruments Directive) (EU Exit) (No 3) Instrument 2019

  • FCA 2019/65: Technical Standards (European Market Infrastructure Regulation) (EU Exit) (No 3) Instrument 2019

    This instrument was made in the last month.

    Publish Date: 18th April 2019

    FCA 2019/65: Technical Standards (European Market Infrastructure Regulation) (EU Exit) (No 3) Instrument 2019

  • FCA 2019/66: Technical Standards (European Market Infrastructure Regulations) (EU Exit) (No 4) Instrument 2019

    This instrument was made in the last month.

    Publish Date: 18th April 2019

    FCA 2019/66: Technical Standards (European Market Infrastructure Regulations) (EU Exit) (No 4) Instrument 2019

  • Glossary pop-up: new feature

    Publish Date: 16th April 2019

    Glossary pop-up: new feature The pop up window that appears whenever an italicised glossary term is clicked on has been enhanced. The pop-up window now contains two tabs: Content - which contains the…

  • FCA 2019/58: Financial Conduct Authority Technical Standards (Capital Requirements Directive and Regulation) (EU Exit) Instrument 2019

    This instrument was made in the last month.

    Publish Date: 11th April 2019

    FCA 2019/58: Financial Conduct Authority Technical Standards (Capital Requirements Directive and Regulation) (EU Exit) Instrument 2019

  • enterprise

    This piece of Handbook content was changed by an instrument this month.

    Changes to this piece of Handbook content became effective this month.

    Effective Date: 1st April 2019

    enterprise

    135 any person engaged in an economic activity, irrespective of legal form, including, in particular: (a) self-employed persons and family businesses engaged in craft or other activities; and (b) part…

  • relevant existing claims management complaint

    This piece of Handbook content was changed by an instrument this month.

    Changes to this piece of Handbook content became effective this month.

    Effective Date: 1st April 2019

    relevant existing claims management complaint

    190 a complaint in respect of which the Financial Ombudsman Service has jurisdiction by operation of article 69(1) of the Financial Services and Markets Act 2000 (Claims Management Activity) Order 201…

  • claims management fee cap

    This piece of Handbook content was changed by an instrument this month.

    Changes to this piece of Handbook content became effective this month.

    Effective Date: 1st April 2019

    claims management fee cap

    228 the provisions in sections 29 and 31of the Financial Guidance and Claims Act 2018 (see CMCOB 5 ).

  • relevant claims management complaint

    This piece of Handbook content was changed by an instrument this month.

    Changes to this piece of Handbook content became effective this month.

    Effective Date: 1st April 2019

    relevant claims management complaint

    190 a relevant existing claims management complaint or a relevant new claims management complaint .

  • relevant new claims management complaint

    This piece of Handbook content was changed by an instrument this month.

    Changes to this piece of Handbook content became effective this month.

    Effective Date: 1st April 2019

    relevant new claims management complaint

    190 a complaint in respect of which the Financial Ombudsman Service has jurisdiction by operation of article 70(1) of the Financial Services and Markets Act 2000 (Claims Management Activity) Order 201…

  • claims management client money rules

    This piece of Handbook content was changed by an instrument this month.

    Changes to this piece of Handbook content became effective this month.

    Effective Date: 1st April 2019

    claims management client money rules

    228 the rules and guidance in CASS 13 .

  • claims management client money distribution rules

    This piece of Handbook content was changed by an instrument this month.

    Changes to this piece of Handbook content became effective this month.

    Effective Date: 1st April 2019

    claims management client money distribution rules

    228 the rules and guidance in CASS 13.11 .

  • CASS 13 claims management firm

    This piece of Handbook content was changed by an instrument this month.

    Changes to this piece of Handbook content became effective this month.

    Effective Date: 1st April 2019

    CASS 13 claims management firm

    228 a firm that is subject to the rules and guidance in CASS 13 .

  • engage in claims management activity

    This piece of Handbook content was changed by an instrument this month.

    Changes to this piece of Handbook content became effective this month.

    Effective Date: 1st April 2019

    engage in claims management activity

    132 (as defined in section 21(10A) of the Act ) (Restrictions on financial promotion)) enter or offer to enter into an agreement the making or performance of which by either party constitutes a contro…

  • CASS 13.1 Application

    This piece of Handbook content was changed by an instrument this month.

    Changes to this piece of Handbook content became effective this month.

    Effective Date: 1st April 2019

    CASS 13.1 Application

  • CAPR GR

    This piece of Handbook content was changed by an instrument this month.

    Changes to this piece of Handbook content became effective this month.

    Effective Date: 1st April 2019

    CAPR GR

    228 the General Rules of the Claims Management Regulation Conduct of Authorised Persons Rules 2018 (effective on 1 April 2018).