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  • bearer certificate

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

    Effective Date: 2nd January 2022

    bearer certificate

    (in COLL ) for 79 a recognised scheme , 67 a certificate or other documentary evidence of title, for which provision is made in the instrument constituting the fund 55 , which indicates that: (a) the…

  • remuneration

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

    Effective Date: 29th July 2022

    remuneration

    (1) (except where (2), (3) or (4) 201 apply) any form of remuneration, including salaries, discretionary pension benefits and benefits of any kind. [Note: article 92(2) of CRD ] 172 (2) (in relation t…

  • holder

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

    Effective Date: 2nd January 2022

    holder

    1 (a) (in relation to a unit in an authorised fund ): (i) the shareholder ; or (ii) the Unitholder ; or 38 (iii) (in FEES 6 and COMP , where the authorised fund is a UK ELTIF ), the person whose name…

  • customer

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

    Effective Date: 29th July 2022

    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…

  • customer

    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 October 2021

    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

    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 using this website . With timeline options, you…

  • Index of Forms in the FCA Handbook

    Publish Date: 14th August 2015

    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 gives the form title. Provision Form Ti…

  • Handbook: updates to IPRU-INV and EG

    Publish Date: 12th February 2016

    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 doing this so that all the tools and…

  • Guide to using this website

    Publish Date: 13th January 2016

    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 and features of this site. Th…

  • Improving individual accountability: forms

    Publish Date: 19th January 2016

    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 Senior Insurance Managers Regime, please se…

  • Introducing topic-based navigation

    Publish Date: 7th February 2018

    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 you are looking for quickly and easil…

  • Consolidation of MiFID 2 instruments

    Publish Date: 11th September 2020

    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 Board on 30 June 2017: Glossary (MiFID…