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  • TC App 6.1 Accredited bodies

    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

    TC App 6.1 Accredited bodies

  • TC App 4.1 Appropriate Qualification tables

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

    Effective Date: 1st October 2020

    TC App 4.1 Appropriate Qualification tables

  • CASS operational oversight 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

    CASS operational oversight function

    197 FCA controlled function 229 110 CF10a in 227 the table of FCA controlled functions , 229 described more fully in SUP 10A.7.9 R 229 .

  • CASS 1A.3 Responsibility for CASS operational oversight

    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

    CASS 1A.3 Responsibility for CASS operational oversight

  • SYSC 21.1 Risk control: guidance on governance arrangements

    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 21.1 Risk control: guidance on governance arrangements

  • DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

    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

    DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

  • proprietary trader

    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

    proprietary trader

    74 (in SYSC 27 (Senior managers and certification regime: 173 (Certification regime), SUP 10A (FCA 138 Approved Persons), COCON 138 and APER ) a person (A) whose responsibilities include committing an…

  • proprietary trading

    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

    proprietary trading

    (in SYSC 27 (Senior managers and certification regime: 173 (Certification regime), SUP 10A (FCA 138 Approved Persons), COCON 138 and APER ) dealing in investments as principal as part of a business of…

  • SYSC 1 Annex 1 Detailed application of SYSC

    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 1 Annex 1 Detailed application of SYSC

  • SYSC 1.1A 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

    SYSC 1.1A Application

  • APER 4.5 Statement of Principle 5

    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

    APER 4.5 Statement of Principle 5

  • SYSC 6.3 Financial crime

    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: 13th December 2018

    SYSC 6.3 Financial crime

  • DISP 2.7 Is the complainant eligible?

    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: 14th December 2018

    DISP 2.7 Is the complainant eligible?

  • DISP 1.10 Complaints reporting 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

    DISP 1.10 Complaints reporting rules

  • FEES 6.4 Management expenses

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

    Effective Date: 1st April 2019

    FEES 6.4 Management expenses

  • FEES 6 Annex 2 Financial Services Compensation Scheme - annual levy limits

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

    Effective Date: 1st April 2019

    FEES 6 Annex 2 Financial Services Compensation Scheme - annual levy limits

  • FEES 6 Annex 4 Guidance on the calculation of tariff bases

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

    Effective Date: 1st April 2019

    FEES 6 Annex 4 Guidance on the calculation of tariff bases

  • MIPRU 2.2 Allocation of the responsibility for insurance distribution activity or MCD credit intermediation activity

    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

    MIPRU 2.2 Allocation of the responsibility for insurance distribution activity or MCD credit intermediation activity

  • COBS 13 Annex 2 Projections

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

    Effective Date: 6th April 2019

    COBS 13 Annex 2 Projections

  • FIT 2.2 Competence and capability

    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

    FIT 2.2 Competence and capability