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  • COBS 10A.1 Application

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

    Effective Date: 1st October 2018

    COBS 10A.1 Application

  • COBS 2.3A Inducements relating to MiFID, equivalent third country or optional exemption business and insurance-based investment products

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

    Effective Date: 1st October 2018

    COBS 2.3A Inducements relating to MiFID, equivalent third country or optional exemption business and insurance-based investment products

  • COBS 2.2A Information disclosure before providing services (MiFID and insurance distribution provisions)

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

    Effective Date: 1st October 2018

    COBS 2.2A Information disclosure before providing services (MiFID and insurance distribution provisions)

  • COBS 6.1ZA Information about the firm and compensation information (MiFID and insurance distribution provisions)

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

    Effective Date: 1st October 2018

    COBS 6.1ZA Information about the firm and compensation information (MiFID and insurance distribution provisions)

  • PERG 8.32 Arranging deals in investments

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

    Effective Date: 1st October 2018

    PERG 8.32 Arranging deals in investments

  • IPRU-INV 9.2 GENERAL REQUIREMENTS

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

    Effective Date: 1st October 2018

    IPRU-INV 9.2 GENERAL REQUIREMENTS

  • ICOBS 6 Annex 1 Responsibilities of insurers and insurance intermediaries in certain situations

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

    Effective Date: 1st October 2018

    ICOBS 6 Annex 1 Responsibilities of insurers and insurance intermediaries in certain situations

  • Changes to EG numbering

    Publish Date: 25th April 2016

    Changes to EG numbering 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 fu…

  • EG 19.6 Regulated Activities Order 2001 (RAO)

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

    Effective Date: 1st October 2018

    EG 19.6 Regulated Activities Order 2001 (RAO)

  • IPRU-INV 13.14 CALCULATION OF ANNUAL INCOME FOR AN EXEMPT CAD FIRM AND A CATEGORY B FIRM

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

    Effective Date: 1st October 2018

    IPRU-INV 13.14 CALCULATION OF ANNUAL INCOME FOR AN EXEMPT CAD FIRM AND A CATEGORY B FIRM

  • IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

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

    Effective Date: 1st October 2018

    IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

  • IPRU-INV 13.13 CAPITAL RESOURCES REQUIREMENT FOR AN EXEMPT CAD FIRM AND A CATEGORY B FIRM

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

    Effective Date: 1st October 2018

    IPRU-INV 13.13 CAPITAL RESOURCES REQUIREMENT FOR AN EXEMPT CAD FIRM AND A CATEGORY B FIRM

  • CONC 5.5 Creditworthiness assessment: P2P agreements [deleted]

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

    Effective Date: 1st November 2018

    CONC 5.5 Creditworthiness assessment: P2P agreements [deleted]

  • CONC 3.8 Financial promotions and communications: lenders

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

    Effective Date: 1st November 2018

    CONC 3.8 Financial promotions and communications: lenders

  • CONC 5.2 Creditworthiness assessment: before agreement [deleted]

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

    Effective Date: 1st November 2018

    CONC 5.2 Creditworthiness assessment: before agreement [deleted]

  • ICOBS 6.4 Pre- and post-contract information: protection policies

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

    Effective Date: 1st October 2018

    ICOBS 6.4 Pre- and post-contract information: protection policies

  • SUP 10A Annex 8 Form E: Internal transfer of an approved person

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

    Effective Date: 1st October 2018

    SUP 10A Annex 8 Form E: Internal transfer of an approved person

  • SUP 10A Annex 4 Form A: Application to perform controlled functions under the approved persons regime

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

    Effective Date: 1st October 2018

    SUP 10A Annex 4 Form A: Application to perform controlled functions under the approved persons regime

  • SUP 10C.5 FCA governing functions

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

    Effective Date: 1st October 2018

    SUP 10C.5 FCA governing functions

  • SUP 10C Annex 2D Form A: Application to perform senior management functions

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

    Effective Date: 1st October 2018

    SUP 10C Annex 2D Form A: Application to perform senior management functions