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  • safeguarded-flexible benefits risk warning

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

    Effective Date: 6th April 2018

    safeguarded-flexible benefits risk warning

    162 A written communication to a member of a personal pension scheme or stakeholder pension scheme which is required by Regulation 8A of the Pension Schemes Act 2015 (Transitional Provisions and Appro…

  • SUP 16 Annex 43A Forms REP015 and REP016

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

    Effective Date: 30th September 2018

    SUP 16 Annex 43A Forms REP015 and REP016

  • MAR 5 Annex 2 Form for reporting incentive scheme proposals (MAR 5.6.3R(1))

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

    Effective Date: 1st September 2017

    MAR 5 Annex 2 Form for reporting incentive scheme proposals (MAR 5.6.3R(1))

  • REC 3 Annex 1 Form for notifying incentive scheme proposals (REC 3.9.3R(1))

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

    Effective Date: 1st September 2017

    REC 3 Annex 1 Form for notifying incentive scheme proposals (REC 3.9.3R(1))

  • SUP 16.24 Retirement income data reporting

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

    Effective Date: 30th September 2018

    SUP 16.24 Retirement income data reporting

  • SUP 16 Annex 43B Guidance notes for completion of the Retirement income flow data return (‘REP015’) and the Retirement income stock and withdrawals flow data return (‘REP016’)

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

    Effective Date: 30th September 2018

    SUP 16 Annex 43B Guidance notes for completion of the Retirement income flow data return (‘REP015’) and the Retirement income stock and withdrawals flow data return (‘REP016’)

  • FCA 2017/46: Client Assets Supervision (P2P CASS Audits) Instrument 2017

    This instrument was made in the last month.

    Publish Date: 21st July 2017

    FCA 2017/46: Client Assets Supervision (P2P CASS Audits) Instrument 2017

  • FCA 2017/47: Immigration Regulations (Amendment) Instrument 2017

    This instrument was made in the last month.

    Publish Date: 21st July 2017

    FCA 2017/47: Immigration Regulations (Amendment) Instrument 2017

  • FCA 2017/49: Fourth Money Laundering Directive (Enforcement and Consequential Amendments) Instrument 2017

    This instrument was made in the last month.

    Publish Date: 21st July 2017

    FCA 2017/49: Fourth Money Laundering Directive (Enforcement and Consequential Amendments) Instrument 2017

  • FCA 2017/42: Fees (Payment Systems Regulator) Instrument (No 4) 2017

    This instrument was made in the last month.

    Publish Date: 21st July 2017

    FCA 2017/42: Fees (Payment Systems Regulator) Instrument (No 4) 2017

  • FCA 2017/43: Conduct of Business Sourcebook (Pension Projections) Instrument 2017

    This instrument was made in the last month.

    Publish Date: 21st July 2017

    FCA 2017/43: Conduct of Business Sourcebook (Pension Projections) Instrument 2017

  • FCA 2017/45: Trading Venues Instrument 2017

    This instrument was made in the last month.

    Publish Date: 21st July 2017

    FCA 2017/45: Trading Venues Instrument 2017

  • FCA 2017/48: Retirement Income Data (Regulatory Return) Instrument 2017

    This instrument was made in the last month.

    Publish Date: 21st July 2017

    FCA 2017/48: Retirement Income Data (Regulatory Return) Instrument 2017

  • FCA 2017/41: Approved Persons (Amendment to Application Forms) Instrument 2017

    This instrument was made in the last month.

    Publish Date: 21st July 2017

    FCA 2017/41: Approved Persons (Amendment to Application Forms) Instrument 2017

  • Prospectus Regulation

    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: 20th July 2017

    Prospectus Regulation

    157 Regulation (EU) No 2017/1129 of the European Parliament and of the Council of 14 June 2017 on the prospectus to be published when securities are offered to the public or admitted to trading on a r…

  • FCA 2017/40: Prospectus Rules (Miscellaneous Amendments) Instrument 2017

    This instrument was made in the last month.

    Publish Date: 7th July 2017

    FCA 2017/40: Prospectus Rules (Miscellaneous Amendments) Instrument 2017

  • MiFID optional exemption firm

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

    Effective Date: 3rd January 2018

    MiFID optional exemption firm

    118 a firm that is an exempt investment firm for the purpose of regulation 8 of the MiFI Regulations .

  • MiFID Org Regulation firm

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

    Effective Date: 3rd January 2018

    MiFID Org Regulation firm

    118 a firm to which the MiFID Org Regulation is directly applicable.

  • MiFID optional exemption business

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

    Effective Date: 3rd January 2018

    MiFID optional exemption business

    118 investment services and/or activities and, where relevant, ancillary services carried on by a MiFID optional exemption firm .

  • multilateral system

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

    Effective Date: 3rd January 2018

    multilateral system

    118 any system or facility in which multiple third-party buying and selling trading interests in financial instruments are able to interact in the system. [Note: article 4(1)(19) of MiFID ]…