Latest News, Updates and Changes
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DEPP 2 Annex 2 Supervisory notices
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st November 2024
DEPP 2 Annex 2 Supervisory notices
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DEPP 2 Annex 2 Supervisory notices
This piece of Handbook content was changed by an instrument this month.
Effective Date: 31st July 2024
DEPP 2 Annex 2 Supervisory notices
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DTR 2.5 Delaying disclosure of inside information
This piece of Handbook content was changed by an instrument this month.
Effective Date: 29th July 2024
DTR 2.5 Delaying disclosure of inside information
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DTR 1B.1 Application and purpose (Corporate governance)
This piece of Handbook content was changed by an instrument this month.
Effective Date: 29th July 2024
DTR 1B.1 Application and purpose (Corporate governance)
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over collateralisation
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st November 2024
over collateralisation
116 (1) (in RCB ) (as defined in Regulation 3(3) of the RCB Regulations ) the provision of additional assets that assist the payment from the relevant asset pool of claims attaching to a regulated cov…
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PERG 9.1 Application and Purpose
This piece of Handbook content was changed by an instrument this month.
Effective Date: 31st July 2024
PERG 9.1 Application and Purpose
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DEPP 2.5 Provision for certain categories of decision
This piece of Handbook content was changed by an instrument this month.
Effective Date: 31st July 2024
DEPP 2.5 Provision for certain categories of decision
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DEPP 2.5 Provision for certain categories of decision
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st November 2024
DEPP 2.5 Provision for certain categories of decision
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DEPP 6.2 Deciding whether to take action
This piece of Handbook content was changed by an instrument this month.
Effective Date: 29th July 2024
DEPP 6.2 Deciding whether to take action
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DEPP 2 Annex 1 Warning notices and decision notices under the Act and certain other enactments
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st November 2024
DEPP 2 Annex 1 Warning notices and decision notices under the Act and certain other enactments
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DEPP 2 Annex 1 Warning notices and decision notices under the Act and certain other enactments
This piece of Handbook content was changed by an instrument this month.
Effective Date: 31st July 2024
DEPP 2 Annex 1 Warning notices and decision notices under the Act and certain other enactments
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DEPP 2 Annex 1 Warning notices and decision notices under the Act and certain other enactments
This piece of Handbook content was changed by an instrument this month.
Effective Date: 26th July 2024
DEPP 2 Annex 1 Warning notices and decision notices under the Act and certain other enactments
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DEPP 2 Annex 1 Warning notices and decision notices under the Act and certain other enactments
This piece of Handbook content was changed by an instrument this month.
Effective Date: 29th July 2024
DEPP 2 Annex 1 Warning notices and decision notices under the Act and certain other enactments
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COBS 14.2 Providing product information to clients
This piece of Handbook content was changed by an instrument this month.
Effective Date: 31st July 2024
COBS 14.2 Providing product information to clients
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DEPP 6.1 Introduction
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st November 2024
DEPP 6.1 Introduction
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public censure
This piece of Handbook content was changed by an instrument this month.
Effective Date: 31st July 2024
public censure
58 (1) a statement published under section 205 (Public censure) of the Act ; (2) a statement of misconduct published under section 66 (Disciplinary powers) of the Act ; (3) a statement published under…
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breach
This piece of Handbook content was changed by an instrument this month.
Effective Date: 31st July 2024
breach
27 in DEPP : (1) misconduct in respect of which the 46 FCA 46 is empowered to take action pursuant to section 66 (Disciplinary powers) of the Act ; or (1A) conduct in respect of which the FCA is empow…
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DTR 5.5 Acquisition or disposal by issuer of shares
This piece of Handbook content was changed by an instrument this month.
Effective Date: 29th July 2024
DTR 5.5 Acquisition or disposal by issuer of shares
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retail client
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st November 2024
retail client
125 164 (1) (in SECN and 226 other than in relation to the provision of basic advice on stakeholder products or to credit-related regulated activities ) in accordance with COBS 3.4.1 R , a client who…
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securitisation position
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st November 2024
securitisation position
120 (1) (in MIPRU 209 ) 132 180 an exposure to a securitisation within the meaning of paragraph (2) of the definition of securitisation; and so that: (a) where there is an exposure to different tranch…