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  • Non-legal changes document 2018

    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: 8th October 2018

    Non-legal changes document 2018

  • FCA 2018/47: Conduct of Business Sourcebook (Pension Transfers) (No 2) Instrument 2018

    This instrument was made in the last month.

    Publish Date: 4th October 2018

    FCA 2018/47: Conduct of Business Sourcebook (Pension Transfers) (No 2) Instrument 2018

  • PERG 12 Annex 1 Examples of what is and is not advising on conversion or transfer of pension benefits

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

    Effective Date: 6th April 2019

    PERG 12 Annex 1 Examples of what is and is not advising on conversion or transfer of pension benefits

  • PERG 12 Annex 1 Examples of what is and is not advising on conversion or transfer of pension benefits

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

    Effective Date: 1st January 2019

    PERG 12 Annex 1 Examples of what is and is not advising on conversion or transfer of pension benefits

  • SMCR banking firm

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

    Effective Date: 10th December 2018

    SMCR banking firm

    173 any of the following: (a) a UK SMCR banking firm ; (b) an EEA SMCR banking firm ; or (c) a third-country SMCR banking firm .

  • certification function

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

    Effective Date: 10th December 2018

    certification function

    227 an FCA certification function or a PRA certification function .

  • overseas SMCR firm

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

    Effective Date: 10th December 2018

    overseas SMCR firm

    93 an SMCR firm that is an overseas firm .

  • table of FCA-designated senior management functions

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

    Effective Date: 10th December 2018

    table of FCA-designated senior management functions

    82 the table of FCA-designated senior management functions in SUP 10C.4.3R .

  • UK SMCR firm

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

    Effective Date: 10th December 2018

    UK SMCR firm

    78 (a) a UK SMCR banking firm ; or (b) any other SMCR firm that is a UK domestic firm .

  • EEA SMCR firm

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

    Effective Date: 10th December 2018

    EEA SMCR firm

    130 (a) an EEA SMCR banking firm ; or (b) any other SMCR firm that is an incoming EEA firm or incoming Treaty firm .

  • SMCR insurance firm

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

    Effective Date: 10th December 2018

    SMCR insurance firm

    173 a firm identified as an SMCR insurance firm in the decision tree in SYSC 23 Annex 1 (Definition of SMCR firm and different types of SMCR firms).

  • SMCR firm

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

    Effective Date: 10th December 2018

    SMCR firm

    173 a firm identified as an SMCR firm in the decision tree in SYSC 23 Annex 1 (Definition of SMCR firm and different types of SMCR firms).

  • conduct risk oversight (Lloyd’s) function

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

    Effective Date: 10th December 2018

    conduct risk oversight (Lloyd’s) function

    227 FCA controlled function SMF23b in the table of FCA-designated senior management functions , described more fully in SUP 10C.6.4R .

  • compliance requirements for SMCR firms

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

    Effective Date: 10th December 2018

    compliance requirements for SMCR firms

    227 any of the following requirements: (a) SYSC 3.2.8R (The compliance function); (b) SYSC 6.1 (Compliance); (c) article 22 of the MiFID Org Regulation (Compliance); or (d) article 22 of the MiFID Org…

  • MiFID authorisation and management body change notification ITS

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

    Effective Date: 10th December 2018

    MiFID authorisation and management body change notification ITS

    129 Commission Implementing Regulation 2017/1945 of 19 June 2017 laying down implementing technical standards with regard to notifications by and to applicant and authorised investment firms.

  • third-country SMCR banking firm

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

    Effective Date: 10th December 2018

    third-country SMCR banking firm

    82 a firm identified as a third-country SMCR banking firm in the decision tree in SYSC 23 Annex 1 (Definition of SMCR firm and different types of SMCR firms) and Part Four of that Annex.

  • executive director function

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

    Effective Date: 10th December 2018

    executive director function

    130 FCA controlled function SMF3 in the table of FCA-designated senior management functions , described more fully in SUP 10C.5.1R to 10C.5.12R .

  • chair of the with-profits committee function

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

    Effective Date: 10th December 2018

    chair of the with-profits committee function

    FCA controlled function SMF15 in the table of FCA-designated senior management functions 227 , described more fully in SUP 10C.5A.5R to SUP 10C.5A.6R 227 .

  • authorised approved person employer

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

    Effective Date: 10th December 2018

    authorised approved person employer

    150 (in relation to an approved person with a current approved person approval ) the firm on whose application approval for the performance of the controlled function was given under section 59 of the…

  • UK SMCR banking firm

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

    Effective Date: 10th December 2018

    UK SMCR banking firm

    78 a firm identified as a UK SMCR banking firm in the decision tree in SYSC 23 Annex 1 (Definition of SMCR firm and different types of SMCR firms) and Part Four of that Annex.