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  • COBS 9.1 Application and purpose provisions

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

    Effective Date: 1st October 2018

    COBS 9.1 Application and purpose provisions

  • COBS 7.1 Application

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

    Effective Date: 1st October 2018

    COBS 7.1 Application

  • COBS 8.1 Client agreements: non-MiFID designated investment business

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

    Effective Date: 1st October 2018

    COBS 8.1 Client agreements: non-MiFID designated investment business

  • FEES 6.2 Exemption

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

    Effective Date: 1st April 2019

    FEES 6.2 Exemption

  • PERG 8.31 Exclusions for advising on investments

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

    Effective Date: 1st October 2018

    PERG 8.31 Exclusions for advising on investments

  • PERG 8.33 Introducing

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

    Effective Date: 1st October 2018

    PERG 8.33 Introducing

  • CASS 8.1 Application

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

    Effective Date: 1st October 2018

    CASS 8.1 Application

  • website conditions

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

    Effective Date: 1st October 2018

    website conditions

    11 the following conditions 14 : (1) the provision of 14 information by means of a website 14 must be appropriate to the context in which the business between the firm and the client is, or is to be,…

  • suitability report

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

    Effective Date: 1st October 2018

    suitability report

    49 a report which a firm must provide to its client 160 which, among other things, explains why the firm has concluded that a recommended transaction is suitable for the client and which is provided p…

  • close links

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

    Effective Date: 1st October 2018

    close links

    (1) (in relation to MiFID business or in FUND ) a situation in which two or more persons are linked by: (a) participation in the form of 211 ownership, direct or by way of control, of 20% or more of t…

  • SYSC Sch 1 Record keeping requirements

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

    Effective Date: 1st October 2018

    SYSC Sch 1 Record keeping requirements

  • SYSC 5.1 Skills, knowledge and expertise

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

    Effective Date: 1st October 2018

    SYSC 5.1 Skills, knowledge and expertise

  • SYSC 10.1 Application

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

    Effective Date: 1st October 2018

    SYSC 10.1 Application

  • SYSC 1.4 Application of SYSC 11 to SYSC 22 and 28

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

    Effective Date: 1st October 2018

    SYSC 1.4 Application of SYSC 11 to SYSC 22 and 28

  • SYSC 3.1 Systems and Controls

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

    Effective Date: 1st October 2018

    SYSC 3.1 Systems and Controls

  • SUP 16 Annex 25 Guidance notes for data items in SUP 16 Annex 24R

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

    Effective Date: 1st October 2018

    SUP 16 Annex 25 Guidance notes for data items in SUP 16 Annex 24R

  • SUP 16 Annex 24 Data items for SUP 16.12

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

    Effective Date: 1st October 2018

    SUP 16 Annex 24 Data items for SUP 16.12

  • PERG 2.3 The business element

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

    Effective Date: 1st October 2018

    PERG 2.3 The business element

  • FEES 6.3 The FSCS's power to impose levies

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

    Effective Date: 1st April 2019

    FEES 6.3 The FSCS's power to impose levies

  • MIPRU 3.1 Application and purpose

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

    Effective Date: 1st October 2018

    MIPRU 3.1 Application and purpose