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  • tied product

    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: 4th June 2019

    tied product

    88 (1) (other than where (2) applies) a product, other than linked borrowing or a linked deposit , that a customer is obliged to purchase through a mortgage lender or reversion provider as a condition…

  • PRIN 3.3 Where?

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

    Effective Date: 1st August 2019

    PRIN 3.3 Where?

  • TC 2.1 Assessing and maintaining competence

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

    Effective Date: 1st October 2020

    TC 2.1 Assessing and maintaining competence

  • SYSC 4.1 General requirements

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

    Effective Date: 9th December 2019

    SYSC 4.1 General requirements

  • DISP TP 1 Transitional provisions

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

    Effective Date: 1st July 2019

    DISP TP 1 Transitional provisions

  • SUP 16.1 Application

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

    Effective Date: 9th September 2019

    SUP 16.1 Application

  • SUP 16.3 General provisions on reporting

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

    Effective Date: 9th September 2019

    SUP 16.3 General provisions on reporting

  • regulated market

    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: 10th June 2019

    regulated market

    (1) a multilateral system operated and/or managed by a market operator , which brings together or facilitates the bringing together of multiple third-party buying and selling interests in financial in…

  • SUP TP 1 Transitional provisions

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

    Effective Date: 9th September 2019

    SUP TP 1 Transitional provisions

  • rule

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

    Effective Date: 1st August 2019

    rule

    (in accordance with section 417(1) of the Act (Definitions)) a rule made by the FCA or the PRA 198 under the Act (including as applied by the Payment Services Regulations and the Electronic Money Regu…

  • PRIN 1.1 Application and purpose

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

    Effective Date: 1st August 2019

    PRIN 1.1 Application and purpose

  • regulatory system

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

    Effective Date: 1st August 2019

    regulatory system

    130 (1) 192 the arrangements for regulating a firm or other person in or under the Act , including the threshold conditions , the Principles and other rules , the Statements of Principle , codes and g…

  • debt security

    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: 10th June 2019

    debt security

    (1) 27 107 38 38 27 (in LR and DTR 7 125 ) debentures , alternative debentures 67 , debenture stock, loan stock, bonds, certificates of deposit or any other instrument creating or acknowledging indebt…

  • customer

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

    Effective Date: 1st August 2019

    customer

    (A) in the PRA Rulebook : 223 151 (1) (except in 52 relation to 52 17 70 ICOBS 70 , MCOB 3 and CASS 5 17 ) a client who is not 52 an eligible counterparty for the relevant purposes 52 . 14 3 (2) (in 5…

  • associate

    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: 10th June 2019

    associate

    103 134 (1) (in LR , 154 in relation to a director , substantial shareholder , or person exercising significant influence 154 who is an individual) and (in DTR , in relation to a related party who is…

  • private person

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

    Effective Date: 1st August 2019

    private person

    (1) except in relation to a rule made under section 137A of the Act as applied by Schedule 3 to the Electronic Money Regulations or Schedule 6 to the Payment Services Regulations , 178 (as defined in…

  • client

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

    Effective Date: 1st August 2019

    client

    (A) in the PRA Handbook : 151 (1) (except 38 in PROF 47 and except 97 in relation to a 41 home finance transaction 41 52 14 17 52 ) 52 has the meaning given in COBS 3.2 , that is (in summary and witho…

  • firm

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

    Effective Date: 1st August 2019

    firm

    (1) 99 an authorised person , but not a professional firm unless it is an authorised professional firm (see also GEN 2.2.18 R for the position of an authorised partnership or unincorporated associatio…

  • Search Functionality and Timeline Features

    Publish Date: 15th January 2016

    Search Functionality and Timeline Features Enhanced Search functionality is available for the FCA Handbook online. For help on how best to use this tool, please see Search section of the Guide to usin…

  • Index of Forms in the FCA Handbook

    Publish Date: 14th August 2015

    Index of Forms in the FCA Handbook This table lists all the forms held in the FCA Handbook. Column 1 lists in alphabetical order by module the provision where the form is to be found and column 2 give…