Latest News, Updates and Changes
SYSC 23 Annex 1 Definition of SMCR firm and different types of SMCR firms
This piece of Handbook content was changed by an instrument this month.
Effective Date: 7th December 2020
SYSC 23 Annex 1 Definition of SMCR firm and different types of SMCR firms
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MAR 8.5 Regulated benchmark administrators
This piece of Handbook content was changed by an instrument this month.
Effective Date: 7th December 2020
MAR 8.5 Regulated benchmark administrators
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ICOBS 6.5 Renewals
This piece of Handbook content was changed by an instrument this month.
Effective Date: 26th April 2021
ICOBS 6.5 Renewals
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PROD 1.4 Application of PROD 4
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st February 2021
PROD 1.4 Application of PROD 4
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COBS 19 Annex 4C Assumptions
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st October 2020
COBS 19 Annex 4C Assumptions
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PERG 8 Annex 1 Examples of what is and is not a personal recommendation and advice
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st February 2021
PERG 8 Annex 1 Examples of what is and is not a personal recommendation and advice
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PROD 1.3 Application of PROD 3
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st February 2021
PROD 1.3 Application of PROD 3
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manufacture
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st February 2021
manufacture
(1) (in relation to PROD 1.3 and PROD 3 ) creating, developing, issuing and/or designing an investment, including when advising corporate issuers on the launch of new investments . 127 [Note: recital…
distribute
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st February 2021
distribute
(1) (in relation to PROD 1.1.3R , PROD 1.3 and PROD 3 ) offering, recommending or selling an investment or providing an investment service to a client . 121 [Note: recital 15 to the MiFID Delegated Di…
COBS 4.5A Communicating with clients (including past, simulated past and future performance) (MiFID provisions)
This piece of Handbook content was changed by an instrument this month.
Effective Date: 30th September 2020
COBS 4.5A Communicating with clients (including past, simulated past and future performance) (MiFID provisions)
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SYSC 22.1 Application
This piece of Handbook content was changed by an instrument this month.
Effective Date: 7th December 2020
SYSC 22.1 Application
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SUP 10A.15 References and accurate information
This piece of Handbook content was changed by an instrument this month.
Effective Date: 7th December 2020
SUP 10A.15 References and accurate information
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SYSC 22.7 Getting references: additional rules and guidance
This piece of Handbook content was changed by an instrument this month.
Effective Date: 7th December 2020
SYSC 22.7 Getting references: additional rules and guidance
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SYSC 22.8 Policies and appointed representatives
This piece of Handbook content was changed by an instrument this month.
Effective Date: 7th December 2020
SYSC 22.8 Policies and appointed representatives
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SUP 10C.16 References and accurate information
This piece of Handbook content was changed by an instrument this month.
Effective Date: 7th December 2020
SUP 10C.16 References and accurate information
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accountable functions
This piece of Handbook content was changed by an instrument this month.
Effective Date: 7th December 2020
accountable functions
134 (in relation to an approved person ) the functions described in APER 1.1A.2R 150 , which are in summary: (a) FCA controlled functions in SUP 10A (FCA Approved persons in Appointed Representatives…
COMP 6.3A When is a successor in default?
This piece of Handbook content was changed by an instrument this month.
Effective Date: 24th July 2020
COMP 6.3A When is a successor in default?
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Changes to EG numbering
Publish Date: 25th April 2016
In FCA 2016/9 we renumbered all the provisions of the Enforcement Guide. We did this so that we could convert EG from a PDF to web pages meaning that users not only have the full suite of tools on the…
EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017
This piece of Handbook content was changed by an instrument this month.
Effective Date: 24th July 2020
EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017
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EG 19.15 The conduct of investigations under the Money Laundering Regulations
This piece of Handbook content was changed by an instrument this month.
Effective Date: 24th July 2020
EG 19.15 The conduct of investigations under the Money Laundering Regulations
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