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  • 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

  • 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

  • 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

  • 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

  • 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

  • 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

  • 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

  • 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)

  • 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

  • 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

  • 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

  • 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

  • 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

  • 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?

  • 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

  • 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