3d Investment Regulation
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Site updated 9 Feb 2010

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The online solution to managing investment regulation in the UK

Welcome to 3d Investment Regulation - a cost effective resource available 24 hours a day, 7 days a week. 3d contains a unique searchable database covering all matters relating to investment operations in the UK, including in-depth coverage of the regulatory regime of the Financial Services Authority.

The FSA has said:
"If a compliance department is to be fully effective it needs to keep up-to-date with regulatory requirements and market developments" and it wishes to "promote better regulation" and greater compliance with it's rules.

Constantly updated and extensively cross-referenced,
3d Investment Regulation is an invaluable tool in a sector where non-compliance is a very risky business.

3d Investment Regulation contains information not available in one place elsewhere, including the FSA Handbook, European Directives, UK legislation, HMRC documentation, JMLSG Guidance Notes and much more, along with IMA circulars and TISA bulletins for trade body members.

Want to know more, including pricing?

This growing library of data provides access to 57121 pages of relevant information, both current and historic - out of date pages are not removed but, wherever possible, the status is brought to the attention of the reader.

A major benefit of using the 3d service is that we convert pdf files to text to ensure the highest level of accessible, consolidated information, with text of all changes retained.

A key feature of the service is that the system is kept totally up-to-date as soon as is practically possible. There is thus minimal manual effort involved in keeping abreast of changes.

Subscribers can 'watch' individual pages and choose to receive a weekly email showing Latest Additions, Events and Deadlines coming up and the most popular pages.

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To find out what clients think of our service, please see
some comments by regular users of 3d.

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Important note

Please note:
3d Investment Regulation is a subscription based service


Other products

FSAssist - the FSA Returns spreadsheet-based system

3d JMLSG, including guidance on the Prevention of Money Laundering and the Financing of Terrorism for the Financial Services Industry

Penumbra - pension regulations service

- Latest additions

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  • CESR/09-1036 Decision on the technical standards for classification and identification of OTC derivative instruments for the purpose of the exchange of transaction reports amongst CESR Members
  • CESR/09-987 Feedback statement on the Consultation on Classification and identification of OTC derivative instruments for the purpose of the exchange of transaction reports amongst CESR Members
  • CESR/09-768 CESR starts consulting on guidance how to report transactions on OTC derivative instruments
  • FSA Memorandum of Understanding between the Bank of England and the Financial Services Authority regarding the oversight of payment systems
  • IMA 10/058 Financial Sanctions: Terrorism (United Nations Measures) Order 2006 and Al-Qaida and Taliban (United Nations Measures) Order 2006
  • FSA Final Notice: Bridgewater House UK Limited
  • FSA Final Notice: Matthew Sixsmith
  • FSA Press Release 10/024 Director banned by FSA for Client Money failings
  • IASB Press Release: IASB issues limited exemption amendment to IFRS 1
  • BAILII - Shah & Anor v HSBC - Held that a bank which makes authorised disclosure under POCA may have to prove its suspicions at trial
  • London Stock Exchange Notice N02/10 Approval of an AIM Secondary Market Registered Organisation
  • IMA 10/057 Offshore Funds: Reporting fund list
  • IMA 10/056 Investment Manager Exemption & Offshore Reporting Funds: transactions not treated as trading
  • CESR/10-034 Public Statement: CESR introduces new working structures to increase efficiency and to prepare for a smooth transition to ESMA
  • European Commission Press Release IP/10/81 Internal Market: Commission takes action against United Kingdom re Market Abuse Directive in Gibraltar
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