Latest News, Updates and Changes
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
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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]
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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
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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
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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)
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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
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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
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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
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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
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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
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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
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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
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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
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