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  • commission

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

    Effective Date: 1st October 2018

    commission

    (other than in DISP Appendix 3 ) 209 any form of commission 3 or remuneration 25 , including a benefit of any kind, offered or given in connection with: 17 (a) designated investment business (other th…

  • financial promotion

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

    Effective Date: 1st October 2018

    financial promotion

    (1) an invitation or inducement to engage in investment activity 25 that is communicated in the course of business; 28 [Note: section 21 of the Act (Restrictions on financial promotion) 28 ] 25 (2) (i…

  • branch

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

    Effective Date: 1st October 2018

    branch

    53 (a) (in relation to a credit institution ): (i) a place of business which forms a legally dependent part of a credit institution and which carries out directly all or some of the transactions inher…

  • charge

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

    Effective Date: 1st October 2018

    charge

    (1) (In LR ) (in relation to securitised derivatives ) means any payment identified under the terms and conditions of the securitised derivatives 3 23 (2) (except in LR ) 31 any fee or charge made to:…

  • EEA right

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

    Effective Date: 1st October 2018

    EEA right

    (in accordance with paragraph 7 of Schedule 3 to the Act (EEA Passport Rights)) the entitlement of a person to establish a branch or provide services in an EEA State other than that in which he has hi…

  • EEA authorisation

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

    Effective Date: 1st October 2018

    EEA authorisation

    (in accordance with paragraph 6 of Schedule 3 to the Act (EEA Passport Rights)): 73 (a) in relation to an IDD insurance intermediary 126 or an IDD reinsurance intermediary 126 , registration with its…

  • UK firm

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

    Effective Date: 1st October 2018

    UK firm

    (1) (except in REC ) 20 (as defined in paragraph 10 of Schedule 3 to the Act (EEA Passport Rights)) either a person : 75 (a) whose head office is in the United Kingdom and who has an EEA right to carr…

  • service conditions

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

    Effective Date: 1st October 2018

    service conditions

    (in accordance with paragraph 14 of Schedule 3 to the Act (EEA Passport Rights)) the conditions that: (a) the firm has given its Home State regulator notice of its intent to provide services in the Un…

  • fee

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

    Effective Date: 1st October 2018

    fee

    (1) (except in ICOBS and, in relation to a life policy , in COBS 6.1ZA ) any payment or remuneration offered or made by a client to a firm in connection with designated investment business or with any…

  • establishment conditions

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

    Effective Date: 1st October 2018

    establishment conditions

    (in relation to the establishment of a branch in the United Kingdom ) the conditions specified in paragraph 13 of Schedule 3 to the Act (EEA Passport Rights), which are that: (a) if the firm falls wit…

  • Search Functionality and Timeline Features

    Publish Date: 15th January 2016

    Search Functionality and Timeline Features 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 usin…

  • Index of Forms in the FCA Handbook

    Publish Date: 14th August 2015

    Index of Forms in the FCA Handbook 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 give…

  • Handbook: updates to IPRU-INV and EG

    Publish Date: 12th February 2016

    Handbook: updates to IPRU-INV and EG 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…

  • Guide to using this website

    Publish Date: 13th January 2016

    Guide to using this website 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 a…

  • Improving individual accountability: forms

    Publish Date: 19th January 2016

    Improving individual accountability: forms 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…

  • Introducing topic-based navigation

    Publish Date: 7th February 2018

    Introducing topic-based navigation 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 yo…

  • Consolidation of MiFID 2 instruments

    Publish Date: 5th September 2017

    Consolidation of MiFID 2 instruments 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 Bo…