Latest News, Updates and Changes
TCFD product
This piece of Handbook content was changed by an instrument this month.
Effective Date: 28th November 2023
TCFD product
108 any of the following: (1) an authorised fund , but: (a) excluding an authorised fund which is a feeder UCITS or a feeder AIF ; and (b) where the authorised fund is an umbrella scheme , each sub-fu…
TCFD in-scope business
This piece of Handbook content was changed by an instrument this month.
Effective Date: 28th November 2023
TCFD in-scope business
108 the following activities, as set out in more detail in ESG 1A.1.1R(2) 115 : (1) portfolio management ; (2) managing a UK UCITS ; (3) managing an AIF ; (4) providing insurance-based investment prod…
COLL 15.5 Annual report and investor relations
This piece of Handbook content was changed by an instrument this month.
Effective Date: 28th November 2023
COLL 15.5 Annual report and investor relations
…
COLL 15.4 Prospectus and other pre-sale notifications
This piece of Handbook content was changed by an instrument this month.
Effective Date: 28th November 2023
COLL 15.4 Prospectus and other pre-sale notifications
…
Final Brexit instruments and TTP directions
Publish Date: 22nd December 2020
The FCA has published the final onshoring instruments, related guidance and Temporary Transitional Power (TTP) directions that will apply at the end of the Brexit transition period. Today’s update fo…
Handbook website changes for EU withdrawal and application of the TTP
Publish Date: 1st October 2020
The FCA has today published an updated version of the FCA Handbook to show the rules that will apply at the end of the transition period. It has also set out details on how it intends to use the Tempo…
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…
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…
CMCOB 3.2 Financial promotions and communications – general standards
This piece of Handbook content was changed by an instrument this month.
Effective Date: 28th November 2023
CMCOB 3.2 Financial promotions and communications – general standards
…
CMCOB 3.2 Financial promotions and communications – general standards
This piece of Handbook content was changed by an instrument this month.
Effective Date: 6th November 2023
CMCOB 3.2 Financial promotions and communications – general standards
…
PROD 1.4 Application of PROD 4
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: 31st December 2023
PROD 1.4 Application of PROD 4
…
PROD 1.4 Application of PROD 4
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: 1st December 2023
PROD 1.4 Application of PROD 4
…
SYSC 19F.2 IDD remuneration incentives
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: 31st December 2023
SYSC 19F.2 IDD remuneration incentives
…
PROD 4.3 Distribution of insurance products
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: 31st December 2023
PROD 4.3 Distribution of insurance products
…
PROD 4.2 Manufacture of insurance products
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: 31st December 2023
PROD 4.2 Manufacture of insurance products
…
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.
Changes to this piece of Handbook content became effective this month.
Effective Date: 1st December 2023
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.
Changes to this piece of Handbook content became effective this month.
Effective Date: 1st December 2023
PROD 1.3 Application of PROD 3
…
PROD 3.3 Distribution of products and investment services
This piece of Handbook content was changed by an instrument this month.
Effective Date: 28th November 2023
PROD 3.3 Distribution of products and investment services
…
distribute
This piece of Handbook content was changed by an instrument this month.
Effective Date: 28th November 2023
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…
manufacturer
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: 1st December 2023
manufacturer
(1) (in relation to PROD 1.3 and PROD 3 ) a firm which creates, develops, issues, and/or designs investments , including when advising corporate issuers on the launch of new investments . 127 [Note: r…