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  • client

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

    Effective Date: 1st April 2019

    client

    (A) in the PRA Handbook : 151 (1) (except 38 in PROF 47 and except 97 in relation to a 41 home finance transaction 41 52 14 17 52 ) 52 has the meaning given in COBS 3.2 , that is (in summary and witho…

  • firm

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

    Effective Date: 1st April 2019

    firm

    (1) 99 an authorised person , but not a professional firm unless it is an authorised professional firm (see also GEN 2.2.18 R for the position of an authorised partnership or unincorporated associatio…

  • customer

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

    Effective Date: 1st August 2019

    customer

    (A) in the PRA Rulebook : 223 151 (1) (except in 52 relation to 52 17 70 ICOBS 70 , MCOB 3 and CASS 5 17 ) a client who is not 52 an eligible counterparty for the relevant purposes 52 . 14 3 (2) (in 5…

  • PRIN 1.1 Application and purpose

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

    Effective Date: 1st August 2019

    PRIN 1.1 Application and purpose

  • private person

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

    Effective Date: 1st August 2019

    private person

    (1) except in relation to a rule made under section 137A of the Act as applied by Schedule 3 to the Electronic Money Regulations or Schedule 6 to the Payment Services Regulations , 178 (as defined in…

  • client

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

    Effective Date: 1st August 2019

    client

    (A) in the PRA Handbook : 151 (1) (except 38 in PROF 47 and except 97 in relation to a 41 home finance transaction 41 52 14 17 52 ) 52 has the meaning given in COBS 3.2 , that is (in summary and witho…

  • firm

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

    Effective Date: 1st August 2019

    firm

    (1) 99 an authorised person , but not a professional firm unless it is an authorised professional firm (see also GEN 2.2.18 R for the position of an authorised partnership or unincorporated associatio…

  • customer

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

    Effective Date: 1st April 2019

    customer

    (A) in the PRA Rulebook : 223 151 (1) (except in 52 relation to 52 17 70 ICOBS 70 , MCOB 3 and CASS 5 17 ) a client who is not 52 an eligible counterparty for the relevant purposes 52 . 14 3 (2) (in 5…

  • Search Functionality and Timeline Features

    Publish Date: 15th January 2016

    Search Functionality and Timeline Features Enhanced Search functionality is available for the FCA Handbook online. For help on how best to use this tool, please see Search section of the Guide to usin…

  • Index of Forms in the FCA Handbook

    Publish Date: 14th August 2015

    Index of Forms in the FCA Handbook This table lists all the forms held in the FCA Handbook. Column 1 lists in alphabetical order by module the provision where the form is to be found and column 2 give…

  • Handbook: updates to IPRU-INV and EG

    Publish Date: 12th February 2016

    Handbook: updates to IPRU-INV and EG We are converting the Interim Prudential Sourcebook for Investment Businesses (IPRU-INV) and the Enforcement Guide (EG) from PDF content to HTML web pages. We are…

  • Guide to using this website

    Publish Date: 13th January 2016

    Guide to using this website We have produced a guide to using this website which is available here: https://www.handbook.fca.org.uk/help . We have also produced a quick video guide to the new layout a…

  • Improving individual accountability: forms

    Publish Date: 19th January 2016

    Improving individual accountability: forms Find out more about the new forms for banking sector firms that are subject to the Senior Managers Regime (SMR). If you are an insurance firm subject to the…

  • Introducing topic-based navigation

    Publish Date: 7th February 2018

    Introducing topic-based navigation We have launched new features on the Handbook website that will allow you to search by key topics and we want your feedback. These changes will help you find what yo…

  • Consolidation of MiFID 2 instruments

    Publish Date: 5th September 2017

    Consolidation of MiFID 2 instruments Progress update (05 September 2017): we have now completed the consolidation of all the instruments listed below. The following instruments were made by the FCA Bo…