Latest News, Updates and Changes
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
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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
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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
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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
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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.
