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  • Non-legal changes

    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: 10th February 2017

    Non-legal changes

  • FCA website – tell us what you think

    Publish Date: 7th February 2017

    FCA website – tell us what you think Please take the time to fill out this short survey on your use of fca.org.uk. We are continuously improving the website and will base future changes on the respons…

  • focused resolution agreement

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

    Effective Date: 1st March 2017

    focused resolution agreement

    106 (in DEPP ) a settlement agreement that: (1) concerns proposed enforcement action that requires the FCA to issue a warning notice ; and (2) sets out an agreed position on one or more, but not all,…

  • FCA 2017/4: Decision Procedure and Penalties Manual and Enforcement Guide (Review) Instrument 2017

    This instrument was made in the last month.

    Publish Date: 31st January 2017

    FCA 2017/4: Decision Procedure and Penalties Manual and Enforcement Guide (Review) Instrument 2017

  • online notification and application system

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

    Effective Date: 26th January 2017

    online notification and application system

    84 the FCA’s and the PRA’s online notification and applications system, by whatever name known. [Note: before 1 October 2014 this was known as ONA, and from 1 October 2014 it has been known as the CON…

  • IPRU-INV 12.4 NOTIFICATION REQUIREMENTS

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

    Effective Date: 26th January 2017

    IPRU-INV 12.4 NOTIFICATION REQUIREMENTS

  • IPRU-INV 12.1 APPLICATION AND PURPOSE

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

    Effective Date: 26th January 2017

    IPRU-INV 12.1 APPLICATION AND PURPOSE

  • IPRU-INV 12 App 1 Terms

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

    Effective Date: 26th January 2017

    IPRU-INV 12 App 1 Terms

  • IPRU-INV 12.2 FINANCIAL RESOURCES REQUIREMENTS

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

    Effective Date: 26th January 2017

    IPRU-INV 12.2 FINANCIAL RESOURCES REQUIREMENTS

  • IPRU-INV 12.3 CALCULATION OF FINANCIAL RESOURCES

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

    Effective Date: 26th January 2017

    IPRU-INV 12.3 CALCULATION OF FINANCIAL RESOURCES

  • FCA 2017/3: Alternative Investment Fund Managers Directive (Reporting) Instrument 2017

    This instrument was made in the last month.

    Publish Date: 26th January 2017

    FCA 2017/3: Alternative Investment Fund Managers Directive (Reporting) Instrument 2017

  • FCA 2017/2: Conduct of Business (Lifetime Mortgages) Instrument 2017

    This instrument was made in the last month.

    Publish Date: 26th January 2017

    FCA 2017/2: Conduct of Business (Lifetime Mortgages) Instrument 2017

  • FCA 2017/1: Handbook Administration (No 44) Instrument 2017

    This instrument was made in the last month.

    Publish Date: 26th January 2017

    FCA 2017/1: Handbook Administration (No 44) Instrument 2017

  • User test the Handbook and FCA websites!

    Publish Date: 26th January 2017

    User test the Handbook and FCA websites! Could you help us improve the FCA and Handbook websites? We are looking for regulated firms, recently authorised firms, trade associations and media profession…

  • credit union subordinated debt

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

    Effective Date: 3rd January 2017

    credit union subordinated debt

    207 a subordinated loan to a credit union that meets the conditions in part 8.2(5) of the Credit Unions Rulebook Part of the PRA Rulebook .

  • relevant credit union client

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

    Effective Date: 3rd January 2017

    relevant credit union client

    169 (in CREDS ): (a) an individual; (b) a charity which has an annual income of less than £1 million; or (c) a small business .

  • CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments

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

    Effective Date: 26th January 2017

    CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments

  • CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments

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

    Effective Date: 3rd January 2017

    CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments

  • early exit charge

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

    Effective Date: 31st March 2017

    early exit charge

    117 has the meaning given in section 137FBB(6) of the Act , which is, in summary: (a) a charge imposed on a member of a personal pension scheme or stakeholder pension scheme : (i) when that member, ha…

  • COBS 19.6A Restrictions on early exit charges in personal pension schemes and stakeholder pension schemes

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

    Effective Date: 31st March 2017

    COBS 19.6A Restrictions on early exit charges in personal pension schemes and stakeholder pension schemes