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  • certification employee

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

    Effective Date: 10th December 2019

    certification employee

    (1) (as described in more detail in section 63E(1) of the Act (Certification of employees by authorised person)) an employee (as defined) of an SMCR firm who has a valid certificate issued by that SMC…

  • SUP 15.11 Notification of COCON breaches and disciplinary action

    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 December 2018

    SUP 15.11 Notification of COCON breaches and disciplinary action

  • SUP 10C.8 The other local responsibility function (SMF22)

    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 December 2018

    SUP 10C.8 The other local responsibility function (SMF22)

  • SUP 10C.11 Statements of responsibilities

    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 December 2018

    SUP 10C.11 Statements of responsibilities

  • SUP 10C.9 Minimising overlap with the PRA approved persons regime

    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 December 2018

    SUP 10C.9 Minimising overlap with the PRA approved persons regime

  • SYSC 5.2

    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 December 2018

    SYSC 5.2

  • SUP 10A Annex 6 Form C: Notice of ceasing to perform controlled functions (including senior management functions) [deleted]

    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 December 2018

    SUP 10A Annex 6 Form C: Notice of ceasing to perform controlled functions (including senior management functions) [deleted]

  • SYSC 4 Annex 1

    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 December 2018

    SYSC 4 Annex 1

  • SMF manager

    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 December 2018

    SMF manager

    135 (in relation to an SMCR firm 173 ) a person who has approval under section 59 of the Act (Approval for particular arrangements) to perform a designated senior management function in relation to th…

  • designated senior management function

    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 December 2018

    designated senior management function

    (in accordance with section 59ZB of the Act (Designated senior management functions): 122 (a) a function that has been designated by the FCA in SUP 10C (FCA senior managers regime for approved persons…

  • relevant senior management 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: 10th December 2018

    relevant senior management application

    148 has the meaning in section 61(1)(b) of the Act (Determination of applications) which, in summary, is an application for approval to perform a designated senior management function in relation to t…

  • SYSC TP 5 Financial Services (Banking Reform) Act 2013: Certification and regulatory references

    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 December 2018

    SYSC TP 5 Financial Services (Banking Reform) Act 2013: Certification and regulatory references

  • COCON 4.2 Specific guidance on senior manager conduct 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: 10th December 2018

    COCON 4.2 Specific guidance on senior manager conduct rules

  • SUP 10C.10 Application for approval and withdrawing an application for approval

    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 December 2018

    SUP 10C.10 Application for approval and withdrawing an application for approval

  • SUP 10C.3 General material about the definition of controlled functions

    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 December 2018

    SUP 10C.3 General material about the definition of controlled functions

  • significant-harm function

    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 December 2018

    significant-harm function

    135 a function defined in section 63E(5) of the Act (Certification of employees by 173 authorised persons) which is, in summary (in relation to the carrying on of a regulated activity by an authorised…

  • COCON 2.3 Firms: training and breaches

    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 December 2018

    COCON 2.3 Firms: training and breaches

  • PRA-prescribed senior management responsibilities

    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 December 2018

    PRA-prescribed senior management responsibilities

    128 one of the functions described as: (1) (for CRR firms, credit unions and third country CRR firms (each as defined in the PRA Rulebook )): 173 (a) a ‘prescribed responsibility’ in Chapter 4; 173 (b…

  • SUP 10A Annex 5 Form B: Notice to withdraw an application to perform controlled functions (including senior management functions) [deleted]

    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 December 2018

    SUP 10A Annex 5 Form B: Notice to withdraw an application to perform controlled functions (including senior management functions) [deleted]

  • SYSC 4.9

    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 December 2018

    SYSC 4.9