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  • approved bank

    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 January 2021

    approved bank

    4 6 13 (except in COLL ) (in relation to a bank account opened by a firm): (a) if the account is opened at a branch in the United Kingdom : (i) the Bank of England; or (ii) the central bank of a membe…

  • facilities

    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 January 2021

    facilities

    (in relation to a recognised body ) the facilities and services which it provides in the course of carrying on exempt activities 2 . References 136 to the use of the facilities of an RIE 125 are to be…

  • own funds

    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 January 2021

    own funds

    (1) (in GENPRU (except GENPRU 3 (Cross sector groups) and BIPRU (except BIPRU 12 (Liquidity standards)) 61 own funds as described in articles 56 to 67 of the Banking Consolidation Directive . (2) [del…

  • Swiss Treaty Agreement

    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 January 2021

    Swiss Treaty Agreement

    the agreement of 10 October 1989 between the European Economic Community and the Swiss Confederation on direct insurance other than life insurance, approved on behalf of the European Economic Communit…

  • manager

    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 January 2021

    manager

    (1) (in relation to an AUT ) the firm 84 75 132 which is the manager of the AUT in accordance with the trust deed . (1A) (in relation to an OEIC which is a UK UCITS 132 or which is an AIF , 84 and whi…

  • transferable security

    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 January 2021

    transferable security

    3 6 11 (1) (in PRR 90 and LR ) (as defined in section 102A of the Act ) anything which is a transferable security for the purposes of 28 29 28 29 MiFIR 86 , other than money-market instruments for the…

  • consumer

    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 January 2021

    consumer

    156 (1) (except as specified in this definition) any natural person acting for purposes outside his trade, business or profession. [Note: article 2 of the Distance Marketing Directive , article 2 of t…

  • PRIN 1.1 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: 1st January 2021

    PRIN 1.1 Application and purpose

  • PROD 6.1 General

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

    Effective Date: 1st February 2021

    PROD 6.1 General

  • COBS 19.10 Drawdown, investment pathways and cash warnings

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

    Effective Date: 1st February 2021

    COBS 19.10 Drawdown, investment pathways and cash warnings

  • 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: 11th September 2020

    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…