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  • EEA SMCR banking firm

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

    Effective Date: 10th December 2018

    EEA SMCR banking firm

    130 a firm identified as an EEA SMCR banking firm in the decision tree in SYSC 23 Annex 1 (Definition of SMCR firm and different types of SMCR firms) and Part Four of that Annex.

  • FCA certification function

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

    Effective Date: 10th December 2018

    FCA certification function

    121 a significant-harm function that has been specified under section 63E of the Act (Certification of employees by authorised persons) by the FCA (see SYSC 27.7.3R (Table: FCA certification functions…

  • SUP 10C Annex 10D Statement of responsibilities

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

    Effective Date: 10th December 2018

    SUP 10C Annex 10D Statement of responsibilities

  • SYSC 25.3 [This part has been left blank deliberately]

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

    Effective Date: 10th December 2018

    SYSC 25.3 [This part has been left blank deliberately]

  • PRA certification function

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

    Effective Date: 10th December 2018

    PRA certification function

    173 a significant-harm function that has been specified by the PRA under section 63E of the Act (Certification of employees by authorised persons) and which consequently is a specified function as def…

  • internal audit requirements for SMCR firms

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

    Effective Date: 10th December 2018

    internal audit requirements for SMCR firms

    163 any of the following requirements: (a) SYSC 3 (Systems and controls) insofar as it relates to internal audit; (b) SYSC 6.2 (Internal audit); (c) article 24 of the MiFID Org Regulation (Internal au…

  • SUP 10C Annex 5R Form C: Notice of ceasing to perform controlled functions including senior management functions

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

    Effective Date: 10th December 2018

    SUP 10C Annex 5R Form C: Notice of ceasing to perform controlled functions including senior management functions

  • SMCR financial activities

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

    Effective Date: 10th December 2018

    SMCR financial activities

    173 any of the following: (a) regulated activities ; (b) an activity carried on in connection with a regulated activity (whether current, past or contemplated); (c) an activity held out as being for t…

  • SYSC 27.1 Application and purpose

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

    Effective Date: 10th December 2018

    SYSC 27.1 Application and purpose

  • SUP 10C Annex 4R Form B: Notice to withdraw an application to perform controlled functions (including senior management functions)

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

    Effective Date: 10th December 2018

    SUP 10C Annex 4R Form B: Notice to withdraw an application to perform controlled functions (including senior management functions)

  • SYSC 23.1 Purpose

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

    Effective Date: 10th December 2018

    SYSC 23.1 Purpose

  • SYSC 23.2 Definitions and types of firms

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

    Effective Date: 10th December 2018

    SYSC 23.2 Definitions and types of firms

  • SYSC 24.1 Application

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

    Effective Date: 10th December 2018

    SYSC 24.1 Application

  • SUP 10C.4A FCA governing functions: General

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

    Effective Date: 10th December 2018

    SUP 10C.4A FCA governing functions: General

  • SUP 10C Annex 11D MiFID Article 4 SMR Information Form

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

    Effective Date: 10th December 2018

    SUP 10C Annex 11D MiFID Article 4 SMR Information Form

  • current approved person approval

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

    Effective Date: 10th December 2018

    current approved person approval

    229 (in relation to an approved person in relation to a particular firm and controlled function as at any particular time) an approval under section 59 of the Act (Approval for particular arrangements…

  • SUP 10C Annex 9D Form J: Notification of significant changes in responsibilities of a person performing a senior management function

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

    Effective Date: 10th December 2018

    SUP 10C Annex 9D Form J: Notification of significant changes in responsibilities of a person performing a senior management function

  • SUP 10C Annex 8D Form I: Application to add, vary or remove a conditional approval for the performance of a senior management function

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

    Effective Date: 10th December 2018

    SUP 10C Annex 8D Form I: Application to add, vary or remove a conditional approval for the performance of a senior management function

  • risk control requirements for SMCR firms

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

    Effective Date: 10th December 2018

    risk control requirements for SMCR firms

    187 any of the following requirements: (a) SYSC 3 (Systems and Controls) insofar as it relates to risk controls; (b) SYSC 7.1.6R , SYSC 7.1.21R and SYSC 7.1.22R ; (c) COLL 6.11 (Risk control and inter…

  • SUP 10C Annex 6R Form D: Notification: Changes to personal information/application details and conduct breaches/disciplinary action related to conduct

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

    Effective Date: 10th December 2018

    SUP 10C Annex 6R Form D: Notification: Changes to personal information/application details and conduct breaches/disciplinary action related to conduct