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  • FCA 2020/37: Enforcement (Fifth Money Laundering Directive) Instrument 2020

    This instrument was made in the last month.

    Publish Date: 24th July 2020

    FCA 2020/37: Enforcement (Fifth Money Laundering Directive) Instrument 2020

  • Changes to how you can contact us

    Publish Date: 24th July 2020

    We have made a change to the website to remove the webchat facility. You can still get in touch by emailing Handbook Feedback or by calling us on the following numbers. Firm queries (including consume…

  • FCA significant-influence functions

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

    Effective Date: 7th December 2020

    FCA significant-influence functions

    133 any of the FCA controlled functions labelled as an FCA significant-influence function in 132 the table of FCA controlled functions .

  • pure benchmark SMCR firm

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

    Effective Date: 7th December 2020

    pure benchmark SMCR firm

    192 has the meaning in SYSC 23 Annex 1 6.13R(1)(b), and in summary means an SMCR firm that has permission to carry on the regulated activity of administering a benchmark but no other regulated activit…

  • limited scope SMCR benchmark firm

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

    Effective Date: 7th December 2020

    limited scope SMCR benchmark firm

    81 has the meaning in SYSC 23 Annex 1 6.12R , and in summary means a pure benchmark SMCR firm that is subject to a waiver that treats the firm as a limited scope SMCR firm .

  • SUP 10A.3 Provisions related to the Act

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

    Effective Date: 7th December 2020

    SUP 10A.3 Provisions related to the Act

  • APER employer

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

    Effective Date: 7th December 2020

    APER employer

    159 (in relation to an approved person whose approval is given under SUP 10A (FCA Approved Persons in Appointed Representatives)): (a) the appointed representative in relation to which that approved p…

  • SUP 10A.17 Further questions [deleted]

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

    Effective Date: 7th December 2020

    SUP 10A.17 Further questions [deleted]

  • SUP 15.17 Notification of regulated income by limited scope SMCR benchmark firm

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

    Effective Date: 7th December 2020

    SUP 15.17 Notification of regulated income by limited scope SMCR benchmark firm

  • ICOBS 6A.4 Travel insurance and medical conditions

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

    Effective Date: 26th April 2021

    ICOBS 6A.4 Travel insurance and medical conditions

  • Brexit update

    Publish Date: 31st January 2020

    We have, in January 2020, made the following instruments in connection with the agreed transition period: Exiting the European Union: Deferral of Commencement and Miscellaneous Fees Instrument 2020 Ex…

  • capped drawdown pension fund

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

    Effective Date: 1st February 2021

    capped drawdown pension fund

    236 239 in accordance with paragraph 8 of schedule 28 to the Finance Act 2004, sums or assets held in a personal pension scheme or stakeholder pension scheme and designated as available for the paymen…

  • pathway investment

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

    Effective Date: 1st February 2021

    pathway investment

    186 189 an investment that corresponds to the investment pathway options in COBS 19.10.17R(1) .

  • flexi-access drawdown pension fund

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

    Effective Date: 1st February 2021

    flexi-access drawdown pension fund

    128 130 in accordance with paragraph 8A of schedule 28 to the Finance Act 2004, sums or assets held in a personal pension scheme or stakeholder pension scheme and designated as available for the payme…

  • investment pathway

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

    Effective Date: 1st February 2021

    investment pathway

    168 171 the process set out in COBS 19.10.14R to 19.10.21R that a retail client can use to select a pathway investment for investing the sums and assets in their capped drawdown pension fund or flexi-…

  • FIIA

    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 2020

    FIIA

    129 a fund investing in inherently illiquid assets .

  • fund investing in inherently illiquid assets

    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 2020

    fund investing in inherently illiquid assets

    129 a non-UCITS retail scheme which satisfies the conditions in (1), (2) and (3): (1) either: (a) the investment objectives and policy published in the instrument constituting the fund and the prospec…

  • inherently illiquid asset

    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 2020

    inherently illiquid asset

    169 an asset which is: (1) an immovable; (2) an investment in an infrastructure project; (3) a transferable security (within paragraph (2) of that definition) that is neither: (a) a government and pub…

  • Glossary pop-up: new feature

    Publish Date: 10th August 2019

    The pop up window that appears whenever an italicised glossary term is clicked on has been enhanced. The pop-up window now contains two tabs: Content - which contains the glossary definition, as befor…

  • SUP 16.26 Reporting of information about Directory persons

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

    Effective Date: 7th December 2020

    SUP 16.26 Reporting of information about Directory persons