Latest News, Updates and Changes
Directory person
This piece of Handbook content was changed by an instrument this month.
Effective Date: 9th September 2019
Directory person
123 an individual who is: (1) an appointed representative Directory person ; (2) a certification employee ; (3) a non-SMF director Directory person ; or (4) a sole trader Directory person .
Directory
This piece of Handbook content was changed by an instrument this month.
Effective Date: 9th September 2019
Directory
123 the record of Directory persons which the FCA is (amongst other things) required to: (1) maintain under section 347(1) of the Act ; and (2) make available for public inspection in accordance with…
non-SMF director Directory person
This piece of Handbook content was changed by an instrument this month.
Effective Date: 9th September 2019
non-SMF director Directory person
79 an individual who is a director of an SMCR firm but is not: (1) an SMF manager ; or (2) a certification employee .
appointed representative Directory person
This piece of Handbook content was changed by an instrument this month.
Effective Date: 9th September 2019
appointed representative Directory person
153 (1) An individual who falls within paragraph (2) but is not a certification employee . (2) An individual falls within this paragraph if they: (a) are: (i) (subject to paragraph (4)) an appointed r…
sole trader Directory person
This piece of Handbook content was changed by an instrument this month.
Effective Date: 9th September 2019
sole trader Directory person
178 (1) An individual who: (a) is a sole trader who is an SMCR firm ; (b) performs the function specified in paragraph (2); and (c) requires a qualification under TC App 1.1 (Activities and Products/S…
SUP 16 Annex 47BG Guidance notes for Directory persons report in SUP 16 Annex 47AR
This piece of Handbook content was changed by an instrument this month.
Effective Date: 9th September 2019
SUP 16 Annex 47BG Guidance notes for Directory persons report in SUP 16 Annex 47AR
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SUP 16.26 Reporting of information about Directory persons
This piece of Handbook content was changed by an instrument this month.
Effective Date: 9th September 2019
SUP 16.26 Reporting of information about Directory persons
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SUP 16 Annex 47AR Directory persons report
This piece of Handbook content was changed by an instrument this month.
Effective Date: 9th September 2019
SUP 16 Annex 47AR Directory persons report
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FEES App 1 Annex 3 Emergencies [deleted]
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 April 2019
FEES App 1 Annex 3 Emergencies [deleted]
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FEES App 1 Annex 5 Personal inspection
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 April 2019
FEES App 1 Annex 5 Personal inspection
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FEES App 1 Annex 2 Further information on fees
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 April 2019
FEES App 1 Annex 2 Further information on fees
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target benchmark
This piece of Handbook content was changed by an instrument this month.
Effective Date: 7th May 2019
target benchmark
86 as defined in COLL 4.2.5R(3)(c-b)(i) .
constraining benchmark
This piece of Handbook content was changed by an instrument this month.
Effective Date: 7th May 2019
constraining benchmark
230 as defined in COLL 4.2.5R(3)(c-b)(ii) .
comparator benchmark
This piece of Handbook content was changed by an instrument this month.
Effective Date: 7th May 2019
comparator benchmark
230 as defined in COLL 4.2.5R(3)(c-b)(iii) .
currency transfer service
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st August 2019
currency transfer service
229 a payment service or the issuance of electronic money that involves a currency conversion. For the purpose of this definition ‘currency conversion’ has the same meaning as it has in the Payment Se…
payment service or electronic money promotion
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st August 2019
payment service or electronic money promotion
178 an invitation or inducement to: (a) enter into an agreement for the provision of a payment service ; (b) initiate a payment order ; or (c) acquire electronic money , that is communicated in the co…
payment service customer
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st August 2019
payment service customer
178 (in BCOBS ): (a) a consumer ; (b) a micro-enterprise ; or (c) a charity which has an annual income of less than £1 million.
pension commencement lump sum
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st November 2019
pension commencement lump sum
177 has the meaning in Part 1 of Schedule 29 to the Finance Act 2004. [Note: http://www.legislation.gov.uk/ukpga/2004/12/schedule/29/part/1 ]…
BCOBS 4.4 Further information to be provided about personal current accounts
This piece of Handbook content was changed by an instrument this month.
Effective Date: 18th December 2019
BCOBS 4.4 Further information to be provided about personal current accounts
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BCOBS 8.1 General and application
This piece of Handbook content was changed by an instrument this month.
Effective Date: 18th December 2019
BCOBS 8.1 General and application
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