Status: You are viewing the version of the handbook as on 2009-03-31.

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

CRED App 1.1.1

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

IPRU8

8General Prudential sourcebook

GENPRU

8Prudential sourcebook for Banks, Building Societies and Investment Firms

BIPRU

8Prudential sourcebook for Insurers

INSPRU

8Prudential sourcebook for Mortgage and Home Finance Firms, and Insurance Intermediaries

MIPRU

8Prudential sourcebook for UCITS Firms

UPRU

Conduct of Business

COBS11

11

Client assets

CASS3

Market conduct, including:

Code of Market Conduct

Price stabilising rules

Inter-professional conduct, Multilateral Trading Facilities911

29

MAR

Training and Competence

TC7

Regulatory Processes

Authorisation

AUTH

Supervision

SUP

Decision Procedure and Penalties10

10

DEPP1010

10

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

[deleted]11

11

[deleted]11

11

Professional firms

PROF

Deleted

Deleted

Mortgages

MORT

Recognised investment exchanges and Recognised clearing houses

REC

6 6

Listing, Prospectus and Disclosure6

Listing Rules

LR

Prospectus Rules

PR

Disclosure Rules and Transparency Rules

DTR

Schedules:

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

Index