FCA Handbook in print
Always at hand
You can subscribe to the entire Handbook as a set of binders or selected modules to receive update automatically
FCA Handbook - Browse by Topics
- Clients (157)
-
Compliance and obligations (211)
-
Clients assets systems and controls (11)
- CASS resolution packs (5)
- Client asset risk management (16)
- Client money management (69)
-
Conduct of business obligations (25)
-
Client communications (148)
- Compensation information (5)
- Confidentiality (17)
- Demands and needs statements (1)
- Distance communications (43)
- Fair, clear and not misleading communications (109)
- Fairness (12)
- Financial Promotions (133)
- Firms services and remuneration disclosure (7)
- Reporting to clients (16)
- Statutory status disclosure (3)
- Suitability Assessment (24)
- Client order handling (20)
- Information management (168)
-
Client communications (148)
- Financial crime prevention (19)
-
Firms responsibilities (24)
- Apportionment of responsibilities (67)
- Approved persons (112)
- Buying and Selling (66)
- Principles for businesses (37)
- Taxation (74)
-
Firms structure and internal systems (128)
- Business management (87)
-
FCA controlled functions (106)
- Benchmark administration function (3)
- Benchmark submission function (4)
- Customer-dealing function (4)
- FCA governing functions (18)
- FCA required functions (9)
- FCA significant-influence functions (22)
- Significant management function (18)
- Significant-harm function (8)
- Systems and controls function (25)
- Policies and procedures (203)
-
Reporting (186)
- Annual questionnaire for authorised professional firms (2)
- Applications (100)
- Benching marking information reports (1)
- Breach reporting (12)
- Client asset reports (4)
- Close links reporting (8)
- Complaints reporting (21)
- Compliance reports (16)
- Controllers reporting (5)
-
Data items (6)
- Authorised Electronic Money Institution Questionnaire (3)
- Authorised Payment Institution Capital Adequacy Return (4)
- Balance sheet (FSA001) (1)
- Balance sheet (FSA029) (1)
- Balance Sheet (FSA059) (2)
- Capital adequacy - supplemental (for collective portfolio management firms subject to BIPRU) (1)
- Capital adequacy - supplemental (for collective portfolio management investment firms subject to IFPRU) (1)
- Capital adequacy (data item) (1)
- Capital adequacy (for collective portfolio management firms) (1)
- Capital Adequacy (for exempt CAD firms subject to IPRU(INV) 13) (1)
- Capital Adequacy (for exempt CAD firms subject to IPRU(INV) 9) (1)
- Capital Adequacy (for firms subject to IPRU(INV) 3) (1)
- Capital adequacy (for firms subject to IPRU(INV) 5 not subject to the exemption in IPRU(INV) 5.2.3(2)R (1)
- Capital adequacy (for firms subject to IPRU(INV) 5 subject to the exemption in 5.2.3(2)R) (1)
- Capital adequacy for firms with the permission of establishing, operating or winding up a personal pension scheme (1)
- Capital requirements (FSA061) (2)
- CFTC data (1)
- Consumer buy to let data (1)
- Consumer credit data (1)
- Credit risk (data item) (1)
- Currency analysis (1)
- Daily flows (1)
- Enhanced mismatch report (1)
- Forecast data from firms (1)
- Funding concentration (1)
- Income statement (FSA002) (1)
- Income statement (FSA030) (1)
- Income statement (FSA060) (2)
- IRB portfolio risk (1)
- Liquidity buffer qualifying securities (2)
- Mark risk - supplementary data (1)
- Market risk (data item) (1)
- Non-EEA sub group (1)
- Operational risk (data item) (1)
- Payment Services Directive Transactions (3)
- Pillar 2 information (1)
- Pricing data (1)
- Retail, SME and large enterprises Type B Funding (1)
- Safeguarding (FSA062) (2)
- Securitisation: non-trading book (1)
- Securitisation: trading book (1)
- Small electronic money institution questionnaire (1)
- Small electronic money institution return (1)
- Solo consolidation data (1)
- Supplementary information (2)
- Systems and controls questionnaire (1)
- UCITS derivative use report (2)
- UK integrated groups - large exposures (1)
- Volumes and types of business (1)
- Financial crime reporting (1)
- High earners reports (2)
- Mortgage lending statistics
- Notifications - Reporting (328)
- Payments fraud reporting (1)
- Persistency report (1)
- Product sales data (5)
- Prudential valuation reporting (2)
- Retail Mediation Activities Return (5)
- Sale and rent back reporting (2)
- Transaction reporting (23)
- Staff management (27)
-
Prudential obligations (87)
-
Capital resource management (88)
- Calculation of annual income (13)
- Calculation of capital resources (96)
- Capital adequacy (57)
- Capital models (12)
- Capital resources (208)
- Prudential consolidation (16)
- Recovery and resolution plans (16)
-
Valuation of capital resources (35)
- Amounts receivable (5)
- Capital Instruments (7)
- Coupons (7)
- Debts due in related undertakings (4)
- Guarantees (77)
- Independent price verification (2)
- Letters of credit (8)
- Life assurance policies (26)
- Liquid capital (16)
- Marking to market (28)
- Marking to model (2)
- Mathematical reserves (4)
- Non-trading book (36)
- Own funds (65)
- Qualifying property (3)
- Qualifying undertakings (6)
- Redemption (55)
- Reserves (36)
- Revaluations (12)
- Shares in related undertakings (4)
- Subordinated loan agreements (15)
- Trading book (45)
- Valuation adjustments (8)
- Financial management (13)
- Independence (47)
- Internal audits (36)
- Prudential standards (13)
-
Risk management (270)
- Credit risk management (98)
- Group risk management (8)
- Insurance risk management (6)
- Liquidity risk management (32)
- Market risk management (48)
- Operational risk management (45)
- Risk assessments (75)
-
Capital resource management (88)
- Skills, knowledge and expertise (81)
-
Clients assets systems and controls (11)
-
Content types (1)
- Content components
- Legislative provisions (6)
- Related documents (2)
-
Types of document (2)
- Agreement (108)
- Application form (31)
- Application refusal (7)
- Cancellation notice (8)
- Dear CEO letter (1)
- Factsheet (4)
- Guidance notes (7)
- Information sheet (21)
- Logo (11)
- Meeting minutes (4)
- MoU Domestic (5)
- MoU international (1)
- Report (186)
- Requirement notice (1)
- Thematic review (2)
- Undertakings - Types of documents (11)
- Warning notice statement (5)
-
Financial crime and market abuse (39)
- Breaching the general prohibition (22)
- Fraud (29)
- Levies for illegal money lending (2)
-
Market abuse (52)
- Abusive squeeze (1)
- Dissemination of information (10)
- Distortion (3)
- Improper disclosure (4)
- Improper personal account dealing (5)
- Inducements (11)
- Insider dealing (12)
- Manipulating transactions (5)
- Misleading behaviour (4)
- Penalties for market abuse - Financial crime and market abuse (2)
- Use of dealing commission (4)
- Wash trades (1)
- Misleading statements and practices (40)
- Misuse of information (5)
- Money laundering (19)
- Scams
- Terrorist financing (4)
- Unauthorised activities (26)
- Unauthorised business (62)
- Unfair contract terms (3)
-
Financial markets (135)
- Auction platforms (11)
- Corporate finance (15)
- Derivatives markets (5)
-
Financial market regulation
- Algorithmic and high-frequency trading (10)
- Benchmarks - Financial Markets (8)
- Multilateral trading facilities - Financial Markets (33)
- Organised trading facilities (21)
- Stabilisation - Financial Markets (1)
- Systematic internalisers - Financial Markets (6)
-
UK Listing Authority responsibilities - Financial Markets
- FCA Official Securities List - Financial markets (10)
-
Monitoring market disclosures (1)
- Disclosure of inside information - Financial markets (11)
- Filing information - Financial Markets (8)
- Financial reporting - Financial Markets (10)
- Notification of acquisition of major shareholdings (11)
- Notification of disposal of major shareholdings (6)
- Notification of voting rights - Financial Markets (13)
- Publication of information - Financial markets (77)
- Transactions by persons discharging managerial authorities - Financial markets (5)
- Operating the UK listing regime (Financial Markets) (21)
-
Reviewing and approving of prospectuses (1)
- Approving prospectuses - Financial Markets (4)
- Base prospectuses - Financial Markets (2)
- Building blocks - Financial Markets (1)
- Certificates of approval for prospectuses - Financial Markets (4)
- Drawing up prospectuses - Financial Markets (1)
- Filing prospectuses - Financial Markets (3)
- Publishing prospectuses - Financial Markets (8)
- Use of language in prospectuses (4)
- Validity of prospectuses - Financial Markets (1)
- Financial Services Register - Financial markets (4)
- Foreign exchange markets (2)
- International markets (2)
- Investment exchange markets (5)
- Investment practices (1)
- Money markets (13)
- Recognised clearing houses (36)
- Recognised investment exchanges (142)
- Recognised overseas clearing houses (5)
- Recognised overseas investment exchanges (21)
- Securities markets (1)
- Stock exchanges (5)
-
Financial products and services (49)
- Banking (118)
- Insurance (129)
-
Investments (239)
-
Collective investment schemes (125)
- Authorised contractual schemes (71)
- Authorised unit trust schemes (71)
- Co-ownership schemes (14)
- Individually recognised overseas schemes (7)
- Investment companies with variable capital (78)
- Investment trust savings schemes (5)
- Qualified investor schemes (10)
- Retail schemes (2)
- Umbrella schemes (22)
- Units in a collective investment scheme - Investments (19)
- Commodities (39)
- Financial instruments (146)
- Funds (137)
- Investment services (72)
- Retail Investment Product (21)
- Structured products (9)
-
Collective investment schemes (125)
-
Loans (161)
- Borrowing from a credit union (2)
- Business loans (18)
- Consumer contracts (4)
- Credit agreements (Loans and Credit)
- Credit rating agencies (10)
- Crowdfunding (3)
- Debt management plans (17)
- Debt solution contracts (9)
- Interest free loans (3)
- Loan agreements (7)
- Logbook loans (1)
- Overdrafts (22)
- Personal loans - Loans (5)
- Prepaid cards (3)
- Stock Lending (17)
- Store cards (8)
-
Mortgages and home finance (118)
- Bridging loans (17)
- Buy-to-let mortgages (48)
- Capped rate mortgages (2)
- Debt consolidation (1)
- Discount mortgages (4)
- Fixed rate mortgages (13)
- Home purchase plan (Mortgages and Home Finance) (43)
- Home reversion plans (Mortgages and home finance) (45)
- Interest-only mortgages (11)
- Lending and financing services (67)
- Offset mortgages (1)
- Regulated mortgage contracts - Mortgages and home finance (153)
- Regulated sale and rent back agreements (38)
- Repossessions (19)
- Retirement interest-only mortgages (10)
- Second mortgages (6)
- Shared equity mortgages (5)
- Shortfalls (23)
- Standard variable rate (2)
- Tracker mortgages (2)
- Variable rate mortgages (8)
- Payment services (48)
- Pensions (72)
-
Specified investments (52)
- Certificates representing certain securities (27)
- Consumer hire agreements (51)
- Contract for differences (21)
- Contracts of Insurance (140)
- Credit agreements (Specified investments) (162)
- Debentures (19)
- Deposits - Specified Investments (60)
- Electronic money (33)
- Emissions auction products (28)
- Funeral Plans Contracts (Specified investments) (14)
- Futures (28)
- Government and public securities (14)
- Home purchase plans (Specified Investments) (15)
- Home reversion plans (Specified investments) (12)
- Membership of Lloyds syndicate (17)
- Options (59)
- Personal pension schemes (47)
- Regulated mortgage contracts - Specified investments (18)
- Regulated sale and rent back agreements (Specified investments) (11)
- Rights to or interests in investments (33)
- Shares (205)
- Stakeholder pension schemes - Private Pensions (13)
- Underwriting capacity of a Lloyds syndicate (6)
- Units (80)
- Units in a collective investment scheme - specified investments (9)
- Warrants (34)
-
Firms (5)
- Firm legal entities (9)
- Firm permissions (99)
-
Firm types (26)
- All firms (2)
- Banks (118)
- Consumer credit firms (9)
- Financial advisers (21)
- Insurance intermediaries (37)
-
Insurers (136)
- EEA deposit insurers (6)
- General insurers (12)
- Insurance brokers (6)
- Insurance underwriters (2)
- Life insurers (6)
- Lloyds managing agent (8)
- Long-term insurers (23)
- Managing agents (18)
- Non-directive insurers (16)
- Society of Lloyds (49)
- Solvency II firm (58)
- Swiss general insurers (12)
- UK Insurance Special Purpose Vehicles (8)
- Underwriting agents (13)
-
Investment firms (138)
- Alternative investment fund managers (58)
- Asset management companies (22)
- Broker-dealer firms (3)
- Brokers (36)
- Collective investment scheme operators (28)
- Collective portfolio management firms (38)
- Collective portfolio management investment firms (Investment firms) (24)
- Common Platform Firm (20)
- Dealers (14)
- EEA state investment firms (2)
- FINREP firms (1)
- Fund management firms (82)
- Incoming Treaty investment firms (7)
- Investment companies with variable capital - Investment Firms (12)
- Investment management firms (40)
- Issuers (43)
- Lloyds firms (7)
- MiFID investment firms (97)
- Non-EEA state investment firms (2)
- Open-ended investment companies (30)
- Personal investment firms (13)
- Portfolio managers (21)
- Securities and futures firms (13)
- Stockbrokers (5)
- UCITS investment firms (11)
- UK investment firms (6)
- Venture capital firms (11)
-
Mortgage and home finance providers (34)
- Equity release advisers (2)
- Equity release arrangers (2)
- Equity release providers (8)
- Home finance administrators (20)
- Home purchase advisers (6)
- Home purchase arrangers (6)
- Home purchase providers (18)
- Mortgage advisers (19)
- Mortgage arrangers (19)
- Mortgage brokers (5)
- Mortgage lenders (104)
- Social housing firms (3)
- Social housing firms (3)
- SRB advisers (5)
- SRB agreement providers (25)
- SRB arrangers (6)
- Mutual societies (12)
- Payment services firms (48)
- Pension firms (4)
- Professional firms (53)
- Prudential category firms (4)
- Group companies (227)
- Regulated entities (7)
- Solvency status (32)
- Formats (9)
- Jurisdiction (34)
-
Legislation, standards and guidance (7)
-
Financial Conduct Authority Handbook (117)
- Business Standards (1)
- FCA Handbook Glossary (52)
- Handbook Guides
-
High Level Standards (2)
- Code of Conduct Sourcebook (12)
- Fees Manual (9)
- General Provisions (4)
- Principles for Businesses (Handbook) (9)
- Senior Management Arrangements, Systems and Controls (40)
- Statements of Principle and Code of Practice for Approved Persons (21)
- The Fit and Proper Test for Approved Persons (9)
- Threshold Conditions (Handbook) (1)
- Training and Competence (16)
- Listing, Prospectus and Disclosure (1)
-
Prudential Standards (Handbook) (4)
- General Prudential sourcebook (4)
- Interim Prudential sourcebook for Friendly Societies (1)
- Interim Prudential sourcebook for Insurers (1)
- Interim Prudential sourcebook for Investment Businesses (11)
- Prudential sourcebook for Banks, Building Societies and Investment Firms (5)
- Prudential sourcebook for Insurers (1)
- Prudential sourcebook for Investment Firms (5)
- Prudential sourcebook for Mortgage and Home Finance Firms, and Insurance Intermediaries (4)
- Redress (Handbook)
- Regulatory Guides (2)
- Regulatory Processes (Handbook) (1)
- Specialist Sourcebooks
-
Industry Guidance (3)
- City Code on Takeovers and Mergers (8)
- Debt Management Protocol (DMP) (3)
- FSB Compensation Standards (3)
- FSO/OFT Joint Guidance on Payment Protection Products (JGPPI) (1)
- Investment Management Association Statement of Recommended Practices (3)
- Office of Fair Trading's Credit Brokers and Intermediaries Guidance (CBG) (11)
- Office of Fair Trading's Debt Collection Guidance (DCG) (17)
- Office of Fair Trading's Debt Management (and Credit Repair Services) Guidance (DMG) (16)
- Office of Fair Trading's Irresponsible Lending Guidance (ILG) (23)
- Office of Fair Trading's Mental Capacity Guidance (MCG) (1)
- UK Corporate Governance Code (13)
-
Legislation (62)
-
European directives (16)
- Fourth Council Directive (78/660/EEC) (2)
- Accounting Directive (2013/34/EU) (4)
- ADR Directive (2013/11/EU) (4)
- Alternative Investment Fund Managers Directive (2011/61/EU) (77)
- Audit Directive (2006/43/EC) (4)
- Bank Accounts Directive (86/635/EEC) (1)
- Banking Consolidation Directive (2000/12/EC) (13)
- Capital Adequacy Directive (2006/49/EC) (37)
- Capital Requirements Directive (2006/48/EC and 2006/49/EC) (96)
- Capital Requirements Directive III (2010/76/EU) (2)
- Capital Requirements Directive IV (2013/36/EU) (116)
- Comparative and Misleading Advertising Directive (97/55/EC) (2)
- Consolidated Admissions and Reporting Directive (2001/34/EC) (14)
- Consolidated Motor Insurance Directive (2009/103/EC) (2)
- Consumer Credit Directive (2008/48/EC) (17)
- Data Protection Directive (95/46/EC) (1)
- Distance Marketing of Consumer Financial Services Directive (2002/65/EC) (29)
- E-commerce Directive (2000/31/EC) (14)
- Electronic Money Directive (2009/110/EC) (12)
- Financial Conglomerates Directive (2002/87/EC) (12)
- Greenhouse Gas Emission Allowance Trading Directive (2003/87/EC) (5)
- Insurance Mediation Directive (2002/92/EC) (85)
- Market Abuse Directive (2003/6/EC) (3)
- Market Abuse Directive (2014/57/EU) (1)
- Markets in Financial Instruments (MiFID II) Directive (2014/65/EU) (148)
- Markets in Financial Instruments Directive (2004/39/EC) (44)
- MiFID Implementing Directive (2006/73/EC) (23)
- Mortgage Credit Directive (2014/17/EU) (126)
- Occupational Pension Funds Directive (2003/41/EC) (4)
- Payment Accounts Directive (2014/92/EU) (1)
- Payment Services Directive (2007/64/EC) (10)
- Post-BCCI Directive (1995/26/EC) (2)
- Prospectus Directive (2003/71/EC) (12)
- Prospectus Directive Regulation (2004/809/EC) (21)
- Recovery and Resolution Directive (2014/59/EU) (9)
- Second Company Law Directive (2012/30/EU) (2)
- Second Council Directive (77/91/EEC) (1)
- Second Payment Services Directive (2015/2366/EU) (11)
- Settlement Finality Directive (98/26/EC) (1)
- Seventh Company Law Directive (83/349/EEC) (2)
- Solvency II Directive (2009/138/EC) (64)
- Takeover Directive (2004/25/EC) (1)
- Technical Standards and Regulations Directive (98/34/EC) (1)
- Transparency Directive (2004/109/EC) (24)
- Transparency Directive Implementing Directive (2007/14/EC) (8)
- UCITS Implementing Directive (2010/43/EU) (10)
- UCITS Implementing Directive No 2 (2010/44/EU) (7)
- Undertakings for Collective Investment in Transferable Securities Directive (2014/91/EU) (16)
- Undertakings for Collective Investment in Transferable Securities Directive IV (2009/65/EC) (94)
- Undertakings for Collective Investment in Transferable Securities Eligible Assets Directive (2007/16/EC) (5)
- Undertakings for Collective Investment in Transferable Securities I (85/611/EEC) (5)
- Unfair Commercial Practices Directive (2005/29/EC) (2)
- Unfair Terms in Consumer Contracts Directive (93/13/EEC) (2)
- European Recommendations
-
European regulations (19)
- Auction Regulation (EU 1031/2010) (31)
- Audit Regulation (EU 537/2014) (2)
- Commission Delegated Regulation (EU) 2017/565 (38)
- Consumer Protection Co-operation Regulation (EC 2006/2004) (3)
- Credit Rating Agencies Regulation (EC 1060/2009) (1)
- Cross-Border Payments in Euro Regulations 2010 (EC 924/2009) (3)
- European Long-term Investment Funds Regulation (EU 2015/760) (2)
- European Market Infrastructure Regulation (EU 648/2012) (97)
- European Social Entrepreneurship Funds Regulation (EU No 346/2013) (3)
- European Venture Capital Funds Regulation (EU No 345/2013) (3)
- Insolvency Proceedings Regulation (1346/2000/EC) (3)
- Interchange Fee Regulation (EU 2015/751) (2)
- Key Information Documents for Packaged Retail and Insurance-based Investment Products Regulation (EU 1286/2014) (5)
- Key Investor Information Regulation (EU 583/2010) (3)
- Market Abuse Regulation (EU 596/2014) (19)
- Markets in Financial Instruments Regulation (EU 600/2014) (45)
- MiFID Implementing Regulation (EC 1287/2006) (9)
- ODR Regulation (EU 524/2013) (2)
- Prudential requirements for credit institutions and investment firms Regulation (EU 575/2013) (95)
- Regulation on information on the payer accompanying transfers of funds (EU 1781/2006) (1)
- Rome I Regulation (EC 593/2008) (1)
- Securities Financing Transaction Regulation (EU 2015/2365) (5)
- Solvency II Delegated Regulation (EU 2015/35) (11)
-
UK Acts of Parliament (2)
- Taxation of Chargeable Gains Act 1992 (3)
- Administration of Justice Act 1970 (1)
- Adults with Incapacity (Scotland) Act 2000 (1)
- Bank of England Act 1998 (1)
- Banking Act 1987 (3)
- Banking Act 2009 (5)
- Building Societies Act 1986 (10)
- Child Trust Funds Act 2004 (2)
- Civil Partnership Act 2004 (1)
- Co-operative and Community Benefit Societies Act 2014 (4)
- Companies (Audit, Investigations and Community Enterprise) Act 2004 (1)
- Companies Act 1985 (14)
- Companies Act 1989 (10)
- Companies Act 2006 (41)
- Compensation Act 2006 (2)
- Competition Act 1998 (1)
- Consumer Credit Act 1974 (75)
- Consumer Insurance (Disclosure and Representations) Act 2012 (1)
- Consumer Rights Act 2015 (14)
- Contracts (Rights of Third Parties) Act 1999 (1)
- Conveyancing and Feudal Reform (Scotland) Act 1970 (2)
- Corporation Tax Act 2010 (1)
- Counter Terrorism Act 2008 (1)
- County Courts Act 1984 (1)
- Credit Unions Act 1979 (10)
- Criminal Justice Act 1988 (1)
- Criminal Justice Act 1993 (3)
- Data Protection Act 1998 (9)
- Debt Arrangement and Attachment (Scotland) Act 2002 (1)
- Dormant Bank and Building Society Accounts Act 2008 (1)
- Employment Rights Act 1996 (6)
- Energy Act 2011 (2)
- Enterprise Act 2002 (3)
- European Union (Amendment) Act 2008 (1)
- Finance Act 1976 (1)
- Finance Act 2004 (3)
- Financial Services (Banking Reform) Act 2013 (4)
- Financial Services Act 1986 (4)
- Financial Services Act 2012 (9)
- Financial Services and Markets Act 2000 (619)
- Fisheries Act 1981 (1)
- Friendly and Industrial and Provident Societies Act 1968 (1)
- Friendly Societies Act 1974 (5)
- Friendly Societies Act 1992 (15)
- Home Owner and Debtor Protection (Scotland) Act 2010 (1)
- Housing (Scotland) Act 1988 (1)
- Housing Act 1985 (1)
- Housing Act 1988 (1)
- Housing and Regeneration Act 2008 (1)
- Housing Associations Act 1985 (1)
- Housing Subsidies Act 1967 (1)
- Human Rights Act 1998 (1)
- Immigration Act 2014 (3)
- Improvement Of Land Act 1864 (1)
- Improvement of Land Act 1899 (1)
- Income and Corporation Taxes Act 1970 (1)
- Income and Corporation Taxes Act 1988 (2)
- Industrial and Provident Societies Act 1965 (2)
- Insolvency Act 1986 (17)
- Insolvency Act 2000 (1)
- Insurance Act 2015 (1)
- Insurance Companies Act 1982 (1)
- Interpretation Act 1978 (3)
- Landlord and Tenant Act 1987 (2)
- Law of Property Act 1925 (1)
- Legal Aid, Sentencing and Punishment of Offenders Act 2012 (1)
- Legal Aid, Sentencing and Punishment of Offenders Act 2012 (1)
- Legal Services Act 2007 (3)
- Limited Liability Partnerships Act 2000 (2)
- Limited Partnerships Act 1907 (1)
- Local Government and Housing Act 1989 (1)
- Local Government, Planning and Land Act 1980 (1)
- Malicious Communication Act 1988 (1)
- Mental Capacity Act 2005 (1)
- Pension Schemes Act 1993 (3)
- Pension Schemes Act 2015 (1)
- Pensions Act 2004 (2)
- Pensions Act 2004 (2)
- Police Act 1997 (3)
- Proceeds of Crime Act 2002 (4)
- Public Interest Disclosure Act 1998 (7)
- Regulation of Financial Services (Land Transactions) Act 2005 (3)
- Regulation of Investigatory Powers Act 2000 (1)
- Rehabilitation of Offenders Act 1974 (4)
- Small Business, Enterprise and Employment Act 2015 (2)
- Social Security Administration Act 1992 (1)
- Superannuation and other Trust Funds (Validation) Act 1927 (1)
- Terrorism Act 2000 (3)
- Water Industry Act 1991 (1)
- Welfare Reform and Pensions Act 1999 (3)
-
UK Statutory Instruments (2)
- Cancellation of Contracts made in a Consumer's Home or Place of Work etc. Regulations 2008 (SI 2008/1816) (1)
- Alternative Dispute Resolution for Consumer Disputes (Competent Authorities and Information) Regulations 2015 (SI 2015/542) (6)
- Alternative Investment Fund Managers Regulations 2013 (SI 2013/1773) (19)
- Bank Recovery and Resolution Order 2016 (SI 2016/1239) (1)
- Business Protection from Misleading Marketing Regulations 2008 (SI 2008/1276) (1)
- Capital Requirements Regulations 2006 (SI 2006/3221) (5)
- Capital Requirements Regulations 2013 (SI 2013/3115) (8)
- Collective Investment in Transferable Securities (Contractual Scheme) Regulations 2013 (SI 2013/1388) (2)
- Companies (Northern Ireland) Order 1990 (SI 1990/593) (1)
- Consumer Contracts (Information, Cancellation and Additional Charges) Regulations 2013 (SI 2013/3134) (5)
- Consumer Credit (Advertisements) Regulations 2004 (SI 2004/1484) (3)
- Consumer Credit (Advertisements) Regulations 2010 (SI 2010/1970) (2)
- Consumer Credit (Agreements) Regulation 1983 (SI 1983/1554) (2)
- Consumer Credit (Agreements) Regulations 1983 (SI 1983/1553) (3)
- Consumer Credit (Agreements) Regulations 2010 (SI 2010/1014) (5)
- Consumer Credit (Agreements) Regulations 2010 (SI 2010/1014) (5)
- Consumer Credit (Cancellation Notices and Copies of Documents) Regulations 1983 (SI 1983/1557) (1)
- Consumer Credit (Conduct of Business) (Credit References) Regulations 1977 (SI 1977/330) (1)
- Consumer Credit (Conduct of Business) (Pawn Records) Regulations 1983 (SI 1983/1565) (1)
- Consumer Credit (Content of Quotations) and Consumer Credit (Advertisements) (Amendment) Regulations 1999 (SI 1999 No. 2725) (1)
- Consumer Credit (Disclosure of Information) Regulations 2004 (SI 2004/1481) (1)
- Consumer Credit (Disclosure of Information) Regulations 2010 (SI 2010/1013) (7)
- Consumer Credit (Early Settlement) Regulations 2004 (SI 2004/1843) (4)
- Consumer Credit (Notice of Cancellation Rights) (Exemptions) Regulations 1983 (SI 1983/1558) (1)
- Consumer Protection (Distance Selling) Regulations 2000 (SI 2000/2334) (2)
- Consumer Protection from Unfair Trading Regulations 2008 (SI 2008/1277) (5)
- Credit Unions (Northern Ireland) Order 1985 (SI 1985/1205) (6)
- Cross-Border Payments in Euro Regulations 2010 (SI 2010/89) (2)
- Data Reporting Services Regulations 2017 (SI 2017/699) (13)
- Electronic Commerce (EC Directive) Regulations 2002 (SI 2002/2013) (1)
- Electronic Commerce Directive (Financial Services and Markets) Regulations 2002 (SI 2002/1775) (3)
- Electronic Money Regulations 2011 (SI 2011/99) (29)
- European Community (Rights against Insurers) Regulations 2002 (SI 2002/3061) (1)
- Financial Conglomerates and Other Financial Groups Regulations 2004 (SI 2004/1862) (5)
- Financial Services (Distance Marketing) Regulations 2004 (SI 2004/2095) (6)
- Financial Services & Markets Act 2000 (Collective Investment Schemes) Order 2001 (SI 2001/1062) (2)
- Financial Services Act 2012 (Consumer Credit) Order 2013 (SI 2012/1882) (4)
- Financial Services and Markets Act 2000 (Amendments to Part 7) Regulations 2008 (SI 2008/1468) (2)
- Financial Services and Markets Act 2000 (Appointed Representatives) (Amendment) Regulations 2006 (SI 2006/3414) (1)
- Financial Services and Markets Act 2000 (Appointed Representatives) Regulations 2001 (SI 2001/1217) (11)
- Financial Services and Markets Act 2000 (Carrying on Regulated Activities by Way of Business Order) 2001 (SI 2001/1177) (12)
- Financial Services and Markets Act 2000 (Carrying on Regulated Activities by Way of Business) (Amendment) Order 2005 (SI 2005/922) (1)
- Financial Services and Markets Act 2000 (Carrying on Regulated Activities by Way of Business) (Amendment) Order 2011 (SI 2011/2304) (1)
- Financial Services and Markets Act 2000 (Carrying on Regulated Activities by Way of Business) (Amendment) Order 2014 (SI 2014/3340) (1)
- Financial Services and Markets Act 2000 (Consumer Credit) (Designated Activities) Order 2014 (SI 2014/334) (1)
- Financial Services and Markets Act 2000 (Consumer Credit) (Designated Activities) Order 2014 (SI 2014/334) (1)
- Financial Services and Markets Act 2000 (Control of Business Transfers) (Requirements on Applicants) Regulations 2001 (SI 2001/3625) (3)
- Financial Services and Markets Act 2000 (Control of Business Transfers)(Requirements on Applicants) Regulations 2001 (SI 2001/3625) (3)
- Financial Services and Markets Act 2000 (Control of Transfers of Business Done at Lloyd's) (Amendment) Order (2008/1725) (2)
- Financial Services and Markets Act 2000 (Control of Transfers of Business Done at Lloyd's) Order 2001(SI 2001/3626) (2)
- Financial Services and Markets Act 2000 (Controllers) (Exemption) Order 2009 (SI 2009/774) (3)
- Financial Services and Markets Act 2000 (Designated Professional Bodies) Order 2001 (SI 2001/1226) (1)
- Financial Services and Markets Act 2000 (EEA Passport Rights) Regulations 2001 (SI 2001/2511) (12)
- Financial Services and Markets Act 2000 (Exemption) (Amendment) Order 2007 (SI 2007/125) (1)
- Financial Services and Markets Act 2000 (Exemption) Order 2001 (SI 2001/1201) (13)
- Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (SI 2005/1529) (30)
- Financial Services and Markets Act 2000 (Gibraltar) Order 2001 (SI 2001/3084) (1)
- Financial Services and Markets Act 2000 (Markets in Financial Instruments Regulations) 2007 (SI 2007/126) (2)
- Financial Services and Markets Act 2000 (Markets in Financial Instruments) (Modification of Powers) Regulations 2006 (SI 2006/2975) (1)
- Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (SI 2017/701) (14)
- Financial Services and Markets Act 2000 (Official Listing of Securities) Regulations 2001 (SI 2001/2956) (1)
- Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013 (SI 2013/504) (1)
- Financial Services and Markets Act 2000 (Professions) (Non-Exempt Activities) Order 2001 (SI 2001/1227) (6)
- Financial Services and Markets Act 2000 (Promotion of Collective Investment Schemes) (Exemptions) Order 2001 (SI 2001/1060) (2)
- Financial Services and Markets Act 2000 (Qualifying EU Provisions) Order 2013 (SI 2013/419) (1)
- Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges and Clearing Houses) Regulations 2001 (SI 2001/995) (28)
- Financial Services and Markets Act 2000 (Regulated Activities) (Amendment No. 3) Order 2006 (SI 2006/3384) (1)
- Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (Electronic Commerce Directive) Order 2002 (SI 2002/2157) (1)
- Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No 2) Order 2013 (SI 2013/1881) (11)
- Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No.2) Order 2003 (SI 2003/1476) (2)
- Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No2) Order 2006 (SI 2006/2383) (1)
- Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2009 (SI 2009/1342) (1)
- Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 (SI 2001/544) (167)
- Financial Services and Markets Act 2000 (Reinsurance Directive) Regulations 2007 (SI 2007/3255) (1)
- Financial Services and Markets Act 2000 (Rights of Action) Regulations 2001 (SI 2001/2256) (1)
- Financial Services and Markets Act 2000 (Stakeholder Products) Regulations 2004 (SI 2004/2738) (1)
- Financial Services and Markets Act 2000 (Transitional Provisions) (Complaints Relating to General Insurance and Mortgages) Order 2004 (SI 2004/454) (7)
- Financial Services and Markets Act 2000 (Transitional Provisions) (Ombudsman Scheme and Complaints Scheme) Order 2001 (SI 2001/2326) (10)
- Financial Services and Markets Act 2000 (Variation of Threshold Conditions) Order 2001 (SI 2001/2507) (3)
- Financial Services Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001 (SI 2001/2188) (2)
- Financial Services Markets Act 2000 (Service of Notices) Regulation 2001 (SI 2001/1420) (7)
- Friendly Societies (Accounts and Related Provisions) Regulations 1991 (SI 1994/1983) (1)
- Green Deal Framework (Disclosure, Acknowledgement, Redress etc) Regulations 2012 (SI 2012/2079) (1)
- Health and Personal Social Services (Northern Ireland) Order 1972 (SI 1972/1265) (1)
- Home Purchase Assistance and Housing Corporation Guarantee Act 1978 (Appointed Day) Order 1978 (SI 1978/1412) (1)
- Housing (Northern Ireland) Order 1992 (SI 1992/1725) (1)
- Immigration Act 2014 (Bank Account) Regulations 2014 (SI 2014/3085) (2)
- Insolvency (Northern Ireland) Order 1989 (SI 1989/2405) (7)
- Insurance Accounts Directive (Lloyd's Syndicate and Aggregate Accounts) Regulations 2008 (SI 2008/1950) (2)
- Investment Bank Special Administration Regulations 2011 (SI 2011/245) (4)
- Large & Medium Sized Companies and Groups (Accounts and Reports) Regulations 2008 (SI 2008/410) (3)
- Legal Aid, Sentencing and Punishment of Offenders Act 2012(Referral Fees) Regulations 2013 (SI 2013/1635) (2)
- Money Laundering Regulations 2007 (SI 2007/2157) (4)
- Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (SI 2017/692) (15)
- Mortgage Credit Directive Order 2015 (SI 2015/910) (25)
- Occupational Pension Schemes (Transfer Values) Regulations 1996 (SI 1996/1847) (1)
- Open-Ended Investment Companies Regulations 2001 (SI 2001/1228) (30)
- Packaged Retail and Insurance-based Investment Products Regulations 2017 (SI 2017/1127) (2)
- Payment Accounts Regulations 2015 (SI 2015/2038) (6)
- Payment Card Interchange Fee Regulations 2015 (SI 2015/1911) (1)
- Payment Services Regulations 2009 (SI 2009/209) (27)
- Payment Services Regulations 2017 (SI 2017/752) (36)
- Privacy and Electronic Communications (EC Directive) Regulations 2003 (SI 2003/2426) (3)
- Private Tenancies (Northern Ireland) Order 2006 (SI 2006/1459) (1)
- Recognised Auction Platforms Regulations 2011 (SI 2011/2699) (25)
- Regulated Covered Bonds Regulations 2008 (SI 2008/346) (16)
- Rehabilitation of Offenders (Northern Ireland) Order 1978 (SI 1978/1908) (2)
- Rehabilitation of Offenders Act 1974 (Exclusions and Exceptions) (Scotland) Order 2003 (SI 2003/231) (1)
- Reinsurance Directive Regulations 2007 (SI 2007/3253) (2)
- Reports on Payments to Governments Regulations 2014 (SI 2014/3209) (1)
- Risk Transformation Regulations 2017 (SI 2017/1212) (1)
- Short Selling Regulation (SI 236/2012) (6)
- Small and Medium Sized Business (Credit Information) Regulation 2015 (SI 2015/1945) (12)
- Small and Medium Sized Business (Finance Platforms) Regulations 2015 (SI 2015/1946) (12)
- Statutory Auditors and Third Country Auditors Regulations 2013 (SI 2013/1672) (1)
- Statutory Auditors and Third Country Auditors Regulations 2016 (SI 2016/649) (1)
- Transfer of Funds (Information on the Payer) Regulations 2007 (SI 2007/3298) (2)
- Uncertificated Securities Regulations 1995 (SI 1995/3272) (2)
- Uncertificated Securities Regulations 2001 (SI 2001/3755) (1)
- Undertakings for Collective Investment in Transferable Securities Regulations 2011 (SI 2011/1613) (2)
- Unfair Terms in Consumer Contracts (Amendment) Regulations 2001 (SI 2001/1186) (3)
- Unfair Terms in Consumer Contracts Regulations 1999 (SI 1999/2083) (9)
-
European directives (16)
-
Regulatory Technical Standards (13)
- Commission Delegated Directive (EU 2017/593) (15)
- Commission Delegated Directive (EU 2017/593) (15)
- Commission Delegated Directive (EU) 2017/593) (15)
- Commission Delegated Regulation (EU 149/2013) (2)
- Commission Delegated Regulation (EU 2015/761) (1)
- Commission Delegated Regulation (EU 2016/1052) (1)
- Commission Delegated Regulation (EU 2016/1075) (2)
- Commission Delegated Regulation (EU 2016/301) (2)
- Commission Delegated Regulation (EU 2016/438) (5)
- Commission Delegated Regulation (EU 2017/2154) (1)
- Commission Delegated Regulation (EU 2017/565) (38)
- Commission Delegated Regulation (EU 2017/566) (3)
- Commission Delegated Regulation (EU 2017/567) (1)
- Commission Delegated Regulation (EU 2017/569) (3)
- Commission Delegated Regulation (EU 2017/570) (2)
- Commission Delegated Regulation (EU 2017/571) (3)
- Commission Delegated Regulation (EU 2017/572) (1)
- Commission Delegated Regulation (EU 2017/573) (3)
- Commission Delegated Regulation (EU 2017/574) (3)
- Commission Delegated Regulation (EU 2017/575) (1)
- Commission Delegated Regulation (EU 2017/576) (1)
- Commission Delegated Regulation (EU 2017/577) (4)
- Commission Delegated Regulation (EU 2017/578) (3)
- Commission Delegated Regulation (EU 2017/582) (5)
- Commission Delegated Regulation (EU 2017/583) (6)
- Commission Delegated Regulation (EU 2017/584) (7)
- Commission Delegated Regulation (EU 2017/585) (1)
- Commission Delegated Regulation (EU 2017/587) (4)
- Commission Delegated Regulation (EU 2017/588) (3)
- Commission Delegated Regulation (EU 2017/589) (3)
- Commission Delegated Regulation (EU 2017/590) (1)
- Commission Delegated Regulation (EU 2017/591) (2)
- Commission Delegated Regulation (EU 2017/592) (2)
- Commission delegated regulation (EU 231/2013) (14)
- Commission Delegated Regulation (EU 231/2013) (14)
- Commission Delegated Regulation (EU 826/2012) (1)
- Commission Delegated Regulation (EU 918/2012) (1)
- Commission Implementing Regulation (EU 2016/824) (4)
- Commission Implementing Regulation (EU 2017/1005) (4)
- Commission Implementing Regulation (EU 2017/1093) (3)
- Commission Implementing Regulation (EU 2017/1110) (3)
- Commission Implementing Regulation (EU 2017/953) (1)
- Commission Implementing Regulation (EU 827/2012) (1)
- International Financial Reporting Standards (1)
-
Financial Conduct Authority Handbook (117)
-
Organisations (4)
- European authorities
- European supervisory authorities (7)
- Financial crime prevention organisations
- Rest of the world regulatory authorities (23)
- Supra-national organisations (3)
- UK government departments and agencies (41)
-
UK regulatory bodies (8)
-
Designated professional bodies (47)
- Chartered Institute of Management Accountants (1)
- Institute of Chartered Accountants in England and Wales (4)
- The Association of Chartered Certified Accountants (3)
- The Council for Licensed Conveyancers (1)
- The Institute of Actuaries (7)
- The Institute of Chartered Accountants in Ireland (3)
- The Institute of Chartered Accountants of Scotland (3)
- The Law Society of England and Wales (7)
- The Law Society of Northern Ireland (7)
- The Law Society of Scotland (7)
- The Royal Institution of Chartered Surveyors (11)
- Financial regulators (225)
-
Designated professional bodies (47)
-
Regulated activities (360)
- Agreeing to carry on a regulated activity (28)
- Banking activities (4)
-
Consumer credit activities (89)
- Advising on regulated credit agreements for the acquisition of land (7)
- Credit broking (42)
- Entering into a regulated consumer hire agreement as owner (13)
- Entering into a regulated credit agreement as lender (31)
- Exercising, or having the right to exercise, the lenders rights and duties under a regulated credit agreement (15)
- Exercising, or having the right to exercise, the owners rights and duties under a regulated consumer hire agreement (11)
- Providing credit information services (30)
- Providing credit references (26)
- Debt management activities (31)
- Exempt regulated activities (23)
-
Insurance activities (112)
- Advising on syndicate participation at Lloyds (19)
- Arranging deals in contracts of insurance written at Lloyds (6)
- Assisting in the administration and performance of a contract of insurance (24)
- Carrying out contracts of insurance (30)
- Effecting contracts of insurance (35)
- Entering as provider into a funeral plan contract (12)
- Managing the underwriting capacity of a Lloyds syndicate as a managing agent at Lloyds (12)
-
Investment activities (183)
- Acting as trustee or depositary of a UCITS (25)
- Acting as trustee or depositary of an AIF (28)
- Administering a specified benchmark (10)
- Advising on investments for the purposes of the permission regime (6)
- Arranging deals in investments (41)
- Bidding in emissions auctions (34)
- Causing dematerialised instructions to be sent (2)
- Dealing in investments as agent (38)
- Dealing in investments as principal (39)
- Establishing, operating or winding up a collective investment scheme (19)
- Making arrangements with a view to transactions in investments (34)
- Managing a UCITS (31)
- Managing an AIF (50)
- Managing dormant account funds (including the investment of such funds) (10)
- Managing investments (105)
- Operating a multilateral trading facility (27)
- Operating an organised trading facility (18)
- Providing information in relation to a specified benchmark (7)
- Safeguarding and administering investments (38)
- Sending dematerialised instructions (5)
-
Mortgages and home financing activities (96)
- Administering a home purchase plan (12)
- Administering a home reversion plan (15)
- Administering a regulated mortgage contract (27)
- Administering a regulated sale and rent back agreement (10)
- Advising on a home purchase plan (16)
- Advising on a home reversion plan (22)
- Advising on a regulated sale and rent back agreement (19)
- Advising on regulated mortgage contracts (48)
- Arranging a home purchase plan (15)
- Arranging a home reversion plan (16)
- Arranging a regulated sale and rent back agreement (12)
- Arranging regulated mortgage contracts (41)
- Entering into a home purchase plan (20)
- Entering into a home reversion plan (14)
- Entering into a regulated mortgage contract (44)
- Entering into a regulated sale and rent back agreement (17)
- Making arrangements with a view to a home purchase plan (10)
- Making arrangements with a view to a regulated sale and rent back agreement (9)
- Making arrangements with a view to home reversion plan (10)
- Making arrangements with a view to regulated mortgage contracts (19)
- Pension-related activities (5)
- Regulatory acronyms and regimes (2)
-
Regulatory processes (6)
- Authorisation (252)
- Complaints and disputes (66)
-
Enforcement (56)
- Case selection (5)
-
Enforcement action (98)
- Administration orders (8)
- Cancelling of permission (23)
- Compulsory winding up orders (11)
- Criminal prosecution (52)
- Decision procedure (55)
- Disapplication orders (9)
- Disqualification orders (14)
- Financial penalties (66)
- Formal caution (1)
- Injunctions (35)
- Insolvency orders (8)
- Powers of intervention (10)
- Private warnings (9)
- Prohibition orders (44)
- Public censures (34)
- Restrictions (51)
- Sanctions and asset freezes
- Statutory notices (33)
- Suspensions (39)
- Variation of permission - Enforcement (34)
- Withdrawal of approval (20)
- Withdrawal of authorisation (8)
- Investigations (111)
- Penalties (48)
- Publicity (26)
- Settlement (42)
- Tribunals (46)
- Fees payable (71)
-
Financial market regulation
- Benchmarks - Regulatory processes (10)
- Multilateral trading facilities - Regulatory processes (29)
- Stabilisation - Regulatory processes (1)
- Systematic internalisers - Regulatory processes (8)
-
UK Listing Authority responsibilities - Regulatory processes
- FCA Official Securities List - Regulatory processes (8)
-
Monitoring market disclosures (1)
- Disclosure of inside information - Regulatory processes (5)
- Filing information (2)
- Financial reporting - Regulatory processes (12)
- Notification of acquisition of major shareholdings (11)
- Notification of disposal of major shareholdings (6)
- Notification of voting rights (8)
- Publication of information - Regulatory processes (90)
- Transactions by persons discharging managerial authorities - Regulatory processes (6)
- Operating the UK listing regime (Regulatory Processes) (24)
- Reviewing and approving of prospectuses (1)
- Financial Services Register - Regulatory processes (43)
- Supervision (176)
-
Roles (2)
- Agents (118)
- Appointed representatives (138)
- Associates of a firm (36)
- Audit committee (17)
- Auditors (98)
- Authorised persons (291)
- Benchmark administration managers (3)
- Benchmark administrators (8)
- Benchmark submitters (5)
- Chairmen (33)
- Chief executives (11)
- Chief risk officers (7)
- Company secretaries (4)
- Controllers (33)
- Counterparty (73)
- Depositary (103)
- Directors (175)
- Distributors (5)
- Employees (201)
- Employers (41)
- Exempt persons (60)
- Governing bodies (92)
- Governing body risk committee (1)
- Investigators (12)
- Investor (148)
- Lead generators (3)
- Management bodies (44)
- Managers (108)
- Market Counterparty (4)
- Market makers (15)
- Members (130)
- Money laundering reporting officers (10)
- Nominated officer (1)
- Nomination committee (9)
- Overseas Person (40)
- Oversight committee (1)
- Policyholder (58)
- Providers (159)
- Registrar (7)
- Risk management committee (3)
- Senior management (111)
- Senior managers (72)
- Shareholder (62)
- Skilled persons (14)
- Sponsor (31)
- Subjects of investigation (1)
- Trustee (119)