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  • COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

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

    Effective Date: 30th September 2019

    COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

  • PRIN 1.2 Clients and the Principles

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

    Effective Date: 1st August 2019

    PRIN 1.2 Clients and the Principles

  • PRIN 3.4 General

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

    Effective Date: 1st August 2019

    PRIN 3.4 General

  • COLL TP 1 Transitional Provisions

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

    Effective Date: 30th September 2019

    COLL TP 1 Transitional Provisions

  • price

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

    Effective Date: 9th December 2019

    price

    (1) 180 (in COLL ) 17 (in relation to a unit in an authorised fund ) the price of the unit calculated in accordance with COLL 6.3 (Valuation and pricing). 38 (2) (in COBS ) (in relation to an operator…

  • SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

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

    Effective Date: 9th September 2019

    SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

  • PRIN 3.2 What?

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

    Effective Date: 1st August 2019

    PRIN 3.2 What?

  • PRIN 3.3 Where?

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

    Effective Date: 1st August 2019

    PRIN 3.3 Where?

  • TC 2.1 Assessing and maintaining competence

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

    Effective Date: 1st October 2020

    TC 2.1 Assessing and maintaining competence

  • SYSC 4.1 General requirements

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

    Effective Date: 9th December 2019

    SYSC 4.1 General requirements

  • DISP TP 1 Transitional provisions

    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 July 2019

    DISP TP 1 Transitional provisions

  • SUP 16.1 Application

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

    Effective Date: 9th September 2019

    SUP 16.1 Application

  • SUP 16.3 General provisions on reporting

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

    Effective Date: 9th September 2019

    SUP 16.3 General provisions on reporting

  • SUP TP 1 Transitional provisions

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

    Effective Date: 9th September 2019

    SUP TP 1 Transitional provisions

  • rule

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

    Effective Date: 1st August 2019

    rule

    (in accordance with section 417(1) of the Act (Definitions)) a rule made by the FCA or the PRA 199 under the Act (including as applied by the Payment Services Regulations and the Electronic Money Regu…

  • margin

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

    Effective Date: 1st August 2019

    margin

    (1) 133 (in COLL ) cash or other property paid, transferred or deposited under the terms of a derivative ; for these purposes cash or property will be treated as having been paid, transferred or depos…

  • 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

  • regulatory system

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

    Effective Date: 1st August 2019

    regulatory system

    130 (1) 192 the arrangements for regulating a firm or other person in or under the Act , including the threshold conditions , the Principles and other rules , the Statements of Principle , codes and g…

  • commodity

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

    Effective Date: 1st August 2019

    commodity

    (1) 50 52 (except for (2) 211 ) 52 a physical asset (other than a financial instrument or cash) which is capable of delivery. 48 (2) 50 (for the purpose of calculating position risk requirements and f…

  • 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…