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  • FOS 2017/3: Dispute Resolution: Complaints (Payment Protection Insurance Complaints) (Voluntary Jurisdiction) Instrument 2017

    This instrument was made in the last month.

    Publish Date: 27th July 2017

    FOS 2017/3: Dispute Resolution: Complaints (Payment Protection Insurance Complaints) (Voluntary Jurisdiction) Instrument 2017

  • IBSA Regulations

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

    Effective Date: 26th July 2017

    IBSA Regulations

    151 the Investment Bank Special Administration Regulations 2011 (SI 2011/245).

  • client money distribution and transfer rules

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

    Effective Date: 26th July 2017

    client money distribution and transfer rules

    212 CASS 7A .

  • secondary pooling shortfall

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

    Effective Date: 26th July 2017

    secondary pooling shortfall

    163 (in CASS 7A.3 ) the amount by which the client money held by a firm is: (a) insufficient to satisfy the claims of the firm’s clients in respect of that money , or (b) not immediately available to…

  • CASS 6.7 Treatment of custody assets after a failure

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

    Effective Date: 26th July 2017

    CASS 6.7 Treatment of custody assets after a failure

  • CASS 7.17 Statutory trust

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

    Effective Date: 26th July 2017

    CASS 7.17 Statutory trust

  • FCA 2017/44: Client Assets (Client Money and Custody Assets Distribution and Transfers) Instrument 2017

    This instrument was made in the last month.

    Publish Date: 25th July 2017

    FCA 2017/44: Client Assets (Client Money and Custody Assets Distribution and Transfers) Instrument 2017

  • 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