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  • 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

  • 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

  • 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

  • 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]

  • 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

  • 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

  • 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

  • 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