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  • SUP 16.3 General provisions on reporting

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

    Effective Date: 23rd March 2018

    SUP 16.3 General provisions on reporting

  • SUP 16.1 Application

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

    Effective Date: 30th September 2018

    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: 30th September 2018

    SUP 16.3 General provisions on reporting

  • SUP 12.2 Introduction

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

    Effective Date: 6th April 2019

    SUP 12.2 Introduction

  • SUP 16.4 Annual controllers report

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

    Effective Date: 1st September 2018

    SUP 16.4 Annual controllers report

  • class

    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 2018

    class

    197 (1) (in GENPRU , INSPRU and SUP ) (in relation to a contract of insurance ) any class of contract of insurance listed in Schedule 1 to the Regulated Activities Order (Contracts of insurance) and r…

  • top-up cover

    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 2018

    top-up cover

    cover provided by the compensation scheme for claims against an incoming EEA firm which 79 has elected to participate in accordance with section 214(5) of the Act , regulation 3 of the Electing Partic…

  • compensation scheme

    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 2018

    compensation scheme

    the Financial Services Compensation Scheme established under section 213 of the Act (The compensation scheme) 218 .

  • 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: 1st April 2018

    security

    118 (1) (except in LR and CONC 121 ) (in accordance with article 3(1) of the Regulated Activities Order (Interpretation)) any of the following investments specified in that Order: (a) share (article 7…

  • pension transfer specialist

    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 2018

    pension transfer specialist

    an individual who: 166 (1) has passed the required examinations as specified in TC ; and 166 (2) is employed by a firm to give advice on pension transfers, pension conversions and pension opt-outs or…

  • OPS 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: 2nd April 2018

    OPS firm

    (a) (except in IPRU(INV) ) a firm which: (i) carries on OPS activity ; and (ii) is one or more of the following: (A) a trustee of the occupational pension scheme in question; (B) a company owned by th…

  • financial year

    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 2018

    financial year

    (1) (in DISP and, 115 118 126 FEES 5 and FEES 6 112 115 ) the 12 months ending with 31 March. (3) (in 23 GENPRU and INSPRU 23 ) the period at the end of which the balance of the accounts of the insure…

  • FCA Handbook in Print - Tell us what you think

    Publish Date: 27th August 2015

    FCA Handbook in Print - Tell us what you think Please Click Here to participate in the FCA Handbook Survey .

  • 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…

  • Handbook: updates to IPRU-INV and EG

    Publish Date: 12th February 2016

    Handbook: updates to IPRU-INV and EG 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…

  • Guide to using this website

    Publish Date: 13th January 2016

    Guide to using this website 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 a…

  • Improving individual accountability: forms

    Publish Date: 19th January 2016

    Improving individual accountability: forms 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…

  • Introducing topic-based navigation

    Publish Date: 7th February 2018

    Introducing topic-based navigation 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 yo…

  • Consolidation of MiFID 2 instruments

    Publish Date: 5th September 2017

    Consolidation of MiFID 2 instruments 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 Bo…