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  • control

    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: 5th April 2024

    control

    47 (1) (except 67 67 118 in (2), (2A) and (2B) 256 ) (in relation to the acquisition, increase or reduction of control of a firm ) the relationship between a person and the firm or other undertaking o…

  • complaints investigator

    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: 5th April 2024

    complaints investigator

    (1) (in relation to a UK RIE ) the independent person appointed under arrangements referred to in paragraph 9(3) of the Schedule to the Recognition Requirements Regulations to investigate a complaint…

  • MIFIDPRU 1.2 SNI MIFIDPRU investment firms

    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: 2nd April 2024

    MIFIDPRU 1.2 SNI MIFIDPRU investment firms

    …

  • SUP 16.29 MIFIDPRU Remuneration Report

    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: 2nd April 2024

    SUP 16.29 MIFIDPRU Remuneration Report

    …

  • MIFIDPRU 7.9 ICARA process: firms forming part of a group

    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: 2nd April 2024

    MIFIDPRU 7.9 ICARA process: firms forming part of a group

    …

  • MIFIDPRU 4.14 K-TCD requirement

    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: 2nd April 2024

    MIFIDPRU 4.14 K-TCD requirement

    …

  • SYSC 19G.5 Application of remuneration requirements to material risk takers

    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: 2nd April 2024

    SYSC 19G.5 Application of remuneration requirements to material risk takers

    …

  • Search Functionality and Timeline Features

    Publish Date: 15th January 2016

    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 using this website . With timeline options, you…

  • Index of Forms in the FCA Handbook

    Publish Date: 14th August 2015

    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 gives the form title. Provision Form Ti…

  • Handbook: updates to IPRU-INV and EG

    Publish Date: 12th February 2016

    We are converting the Interim Prudential Sourcebook for Investment Businesses (IPRU-INV) and the Enforcement Guide (EG) from PDF content to HTML web pages. We are doing this so that all the tools and…

  • Guide to using this website

    Publish Date: 13th January 2016

    We have produced a guide to using this website which is available here: https://www.handbook.fca.org.uk/help . We have also produced a quick video guide to the new layout and features of this site. Th…

  • Improving individual accountability: forms

    Publish Date: 19th January 2016

    Find out more about the new forms for banking sector firms that are subject to the Senior Managers Regime (SMR). If you are an insurance firm subject to the Senior Insurance Managers Regime, please se…

  • Introducing topic-based navigation

    Publish Date: 7th February 2018

    We have launched new features on the Handbook website that will allow you to search by key topics and we want your feedback. These changes will help you find what you are looking for quickly and easil…

  • Consolidation of MiFID 2 instruments

    Publish Date: 11th September 2020

    Progress update (05 September 2017): we have now completed the consolidation of all the instruments listed below. The following instruments were made by the FCA Board on 30 June 2017: Glossary (MiFID…