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  • COBS 14.3 Information about designated investments (non-MiFID provisions)

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

    Effective Date: 9th December 2019

    COBS 14.3 Information about designated investments (non-MiFID provisions)

  • COBS TP 2 Other Transitional Provisions

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

    Effective Date: 7th May 2019

    COBS TP 2 Other Transitional Provisions

  • COBS 10.1 Application

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

    Effective Date: 9th December 2019

    COBS 10.1 Application

  • COBS 13.1 The obligation to prepare product information

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

    Effective Date: 6th April 2020

    COBS 13.1 The obligation to prepare product information

  • SYSC 6.2 Internal audit

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

    Effective Date: 9th December 2019

    SYSC 6.2 Internal audit

  • Home State regulator

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

    Effective Date: 1st August 2019

    Home State regulator

    (1) (in relation to an EEA firm ) (as defined in paragraph 9 of Schedule 3 to the Act (EEA Passport Rights)) the competent authority (under the relevant Single Market Directive or the auction regulati…

  • SUP 16.12 Integrated Regulatory Reporting

    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: 4th June 2019

    SUP 16.12 Integrated Regulatory Reporting

  • DTR TP 1 Disclosure and transparency rules

    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: 10th June 2019

    DTR TP 1 Disclosure and transparency rules

  • LR 14.3 Continuing obligations

    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: 10th June 2019

    LR 14.3 Continuing obligations

  • LR 9.2 Requirements with continuing application

    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: 10th June 2019

    LR 9.2 Requirements with continuing application

  • LR 18.4 Continuing obligations

    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: 10th June 2019

    LR 18.4 Continuing obligations

  • SYSC Sch 1 Record keeping requirements

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

    Effective Date: 9th December 2019

    SYSC Sch 1 Record keeping requirements

  • SYSC 6.1 Compliance

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

    Effective Date: 9th December 2019

    SYSC 6.1 Compliance

  • SYSC 10.1 Application

    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: 10th June 2019

    SYSC 10.1 Application

  • SYSC 7.1 Risk control

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

    Effective Date: 9th December 2019

    SYSC 7.1 Risk control

  • default

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

    Effective Date: 9th December 2019

    default

    (1) (in relation to the IRB approach and for the purposes of BIPRU ) has the meaning in BIPRU 4.3 (The IRB approach: Provisions common to different exposure classes). 94 (2) (in MIPRU ) for any credit…

  • supervisory function

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

    Effective Date: 9th December 2019

    supervisory function

    (1) any function within a common platform firm that is responsible for the supervision of its senior personnel . (2) (in relation to a management company and in accordance with article 3(6) of the UCI…

  • MIPRU 5.1 Application and purpose

    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: 4th June 2019

    MIPRU 5.1 Application and purpose

  • COLL 4.2 Pre-sale notifications

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

    Effective Date: 7th May 2019

    COLL 4.2 Pre-sale notifications

  • COLL 4.5 Reports and accounts

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

    Effective Date: 30th September 2019

    COLL 4.5 Reports and accounts