Status: You are viewing the version of the handbook as on 2005-06-30.

CRED App 1.1 This is the table referred to in CRED 2.2.2G.

CRED App 1.1.1
5

Sourcebook or manual

Reference code

High Level Standards

Principles for Businesses

PRIN

Senior Management Arrangements, Systems and Controls

SYSC

Statements of Principle and Code of Practice for Approved Persons

APER

The Fit and Proper test for Approved persons

FIT

General provisions

GEN

Business Standards

5 Interim Prudential sourcebooks

IPRU

Integrated Prudential Sourcebook5

PRU5

Conduct of Business

COB

Client assets

CASS3

Market conduct, including:

Code of Market Conduct

Price stabilising rules

Inter-professional conduct Alternative Trading Systems2

MAR

Training and Competence

TC

Money laundering

ML

Regulatory Processes

Authorisation

AUTH

Supervision

SUP

Enforcement

ENF

Decision making

DEC

Redress

Dispute resolution: Complaints

DISP

Compensation

COMP

Complaints against the FSA

COAF

Specialist sourcebooks

Collective investment schemes

CIS

New Collective Investment Scheme sourcebook

COLL4

Credit unions

CRED

E-Commerce Directive

ECO1

Professional firms

PROF

Lloyd's

LLD

Mortgages

MORT

Recognised investment exchanges and Recognised clearing houses

REC

United Kingdom Listing Authority

UKLA

Transitional provisions

Summary schedules:

1. Record keeping requirements

2. Notification requirements

3. Fees and other required payments

4. Powers exercised in making the Handbook

5. Rights of action for damages

6. Rules that can be waived

7. Releases

Glossary of definitions