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  • SUP 16.1 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: 18th September 2024

    SUP 16.1 Application

    …

  • SUP 16.3 General provisions on reporting

    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: 18th September 2024

    SUP 16.3 General provisions on reporting

    …

  • GEN Sch 4 Powers exercised

    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: 30th September 2024

    GEN Sch 4 Powers exercised

    …

  • GEN Sch 4 Powers exercised

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

    Effective Date: 1st November 2024

    GEN Sch 4 Powers exercised

    …

  • relevant business

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

    Effective Date: 1st April 2025

    relevant business

    131 131 (1) (in DISP and FEES ) that part of a firm's business 244 231 which is subject to the jurisdiction of the Financial Ombudsman Service as provided for in DISP 2.3 (To which activities does the…

  • recognised scheme

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

    Effective Date: 31st July 2024

    recognised scheme

    a scheme recognised for the purpose of part XVII of the Act . 227 192 228 202…

  • network

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

    Effective Date: 1st November 2024

    network

    102 (1) (other than in SECN ) a firm : (a) which has five or more appointed representatives (not counting introducer appointed representatives ) 16 ; or (b) whose appointed representatives , not count…

  • client money rules

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

    Effective Date: 1st November 2024

    client money rules

    (1) [deleted] (2) (in CASS 5 ) CASS 5.1 to CASS 5.5 . (3) (in SECN 281 , CASS 3 , CASS 6 , CASS 7 , CASS 7A , 158 COBS and FEES 160 ) CASS 7.10 to CASS 7.19 166 .

  • occupational pension scheme

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

    Effective Date: 1st November 2024

    occupational pension scheme

    24 116 (1) (other than in SECN ) a scheme specified in Article 3(1) of the Regulated Activities Order (Interpretation)) which is, in summary, a pension scheme established for the purpose of providing…

  • Home State

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

    Effective Date: 31st July 2024

    Home State

    33 (1) (in relation to a credit institution ) the EEA State in which the credit institution has been authorised in accordance with the CRD . (2) (in relation to an investment firm ): (a) if the invest…

  • MIFIDPRU 7.7 ICARA process: assessing and monitoring the adequacy of liquid assets

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

    Effective Date: 1st November 2024

    MIFIDPRU 7.7 ICARA process: assessing and monitoring the adequacy of liquid assets

    …

  • 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…