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  • FCA 2017/64: Capital Requirements Directive IV (Amendment) Instrument 2017

    This instrument was made in the last month.

    Publish Date: 10th November 2017

    FCA 2017/64: Capital Requirements Directive IV (Amendment) Instrument 2017

  • FCA 2017/63: MiFID 2 Guide Instrument 2017

    This instrument was made in the last month.

    Publish Date: 10th November 2017

    FCA 2017/63: MiFID 2 Guide Instrument 2017

  • protected debt management business

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

    Effective Date: 1st April 2018

    protected debt management business

    160 debt management activities which are covered by the compensation scheme , as set out in COMP 5.8.1R .

  • enhanced reporting investment

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

    Effective Date: 1st April 2018

    enhanced reporting investment

    122 any investment subject to a restriction on retail distribution under the FCA’s rules , as summarised in COBS 9.3.5G(1) .

  • direct sales of structured deposits

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

    Effective Date: 1st April 2018

    direct sales of structured deposits

    114 the sale by a firm with permission for accepting deposits of its own structured deposits .

  • intermediation of structured deposits

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

    Effective Date: 1st April 2018

    intermediation of structured deposits

    154 (in COMP and FEES 6 ) any of the following: (1) direct sales of structured deposits ; (2) in relation to structured deposits : (a) advising on investments ; or (b) dealing in investments as agent…

  • COMP 5.8 Protected debt management business

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

    Effective Date: 1st April 2018

    COMP 5.8 Protected debt management business

  • COMP 3.1 Application and Purpose

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

    Effective Date: 1st April 2018

    COMP 3.1 Application and Purpose

  • FEES TP 18 Transitional provisions relating to changes to the FSCS levy arrangements taking effect in 2018/19

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

    Effective Date: 1st April 2018

    FEES TP 18 Transitional provisions relating to changes to the FSCS levy arrangements taking effect in 2018/19

  • COMP 12A.1 Trustees and pension schemes

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

    Effective Date: 1st April 2018

    COMP 12A.1 Trustees and pension schemes

  • COMP INTRO 1 Foreword

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

    Effective Date: 1st April 2018

    COMP INTRO 1 Foreword

  • FEES TP 18 Transitional provisions relating to changes to the FSCS levy arrangements taking effect in 2018/19

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

    Effective Date: 3rd January 2018

    FEES TP 18 Transitional provisions relating to changes to the FSCS levy arrangements taking effect in 2018/19

  • FEES TP 18 Transitional provisions relating to changes to the FSCS levy arrangements taking effect in 2018/19

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

    Effective Date: 30th October 2017

    FEES TP 18 Transitional provisions relating to changes to the FSCS levy arrangements taking effect in 2018/19

  • FCA 2017/58: Financial Services Compensation Scheme (Funding and Scope) Instrument 2017

    This instrument was made in the last month.

    Publish Date: 30th October 2017

    FCA 2017/58: Financial Services Compensation Scheme (Funding and Scope) Instrument 2017

  • shell company

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

    Effective Date: 1st January 2018

    shell company

    165 as defined in LR 5.6.5AR .

  • LR 6.9 Constitutional arrangements

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

    Effective Date: 1st January 2018

    LR 6.9 Constitutional arrangements

  • LR 6.14 Shares in public hands

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

    Effective Date: 1st January 2018

    LR 6.14 Shares in public hands

  • LR 6.3 Revenue earning track record requirement

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

    Effective Date: 1st January 2018

    LR 6.3 Revenue earning track record requirement

  • LR 6.15 Shares of a non-EEA company

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

    Effective Date: 1st January 2018

    LR 6.15 Shares of a non-EEA company

  • LR 6.4 Independent business

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

    Effective Date: 1st January 2018

    LR 6.4 Independent business