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Site updated 28 Aug 2008

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  • Regulation (FSA, ML, HMT etc)
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      • FSA Handbook of Rules and Guidance
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      • Enforcement Notices and Application refusals
      • Factsheets and other Consumer Publications
      • Handbook Development Newsletters
      • Handbook Legal instruments
      • Handbook Notices
      • Occasional Papers
      • Organisation Chart
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      • Policy Statements
      • Press Releases
      • Recognised Bodies
      • Special Guides
      • Statements
      • Waivers
      • Life Insurance Newsletters
      • General Insurance Newsletters
    • Anti Money Laundering
      • Anti Money Laundering
      • Money Laundering Guidance Notes
      • Money Laundering Regulations 2007
      • Proceeds of Crime Act 2002
      • Second Money Laundering Directive (2001/97/EEC)
      • Third Money Laundering Directive (2005/60/EEC)
      • BBA British Bankers' Association
      • JMLSG Joint Money Laundering Steering Group
      • SOCA The Serious Organised Crime Agency
      • OECD Organisation for Economic Co-operation and Development
      • FATF Financial Action Task Force
      • FATF The Forty Recommendations
      • Suggested MLRO good practice framework
      • Institute of Money Laundering Prevention Officers
        • Institute of Money Laundering Prevention Officers
        • Third Annual Conference 8 and 9 May 2006
    • HM Treasury
      • HM Treasury
      • Consultation and other papers
      • News Releases
    • Bank of England
    • Mortgages
      • Mortgages
      • MCOB Mortgages: Conduct of Business (FSA Handbook)
      • MORT Mortgages (FSA Handbook)
    • Former Regulators
      • Self-Regulating Organisations (SROs) (no longer in being)
      • IMRO Investment Management Regulatory Organisation
      • PIA Personal Investment Authority
      • SFA Securities and Futures Authority
      • FIMBRA Financial Intermediaries, Managers & Brokers Regulatory Association
      • LAUTRO Life Assurance and Unit Trust Regulatory Organisation
  • FSA Handbook of Rules and Guidance
    • Contents
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    • Rule-making instruments
      • 2008
      • 2007
      • 2006
      • 2005
      • 2004
      • 2003
      • 2002
      • 2001
    • BIPRU Prudential sourcebook for Banks, Building Societies and Investment Firms
    • CASS Client Assets
    • CIS Collective Investment Schemes
    • COAF Complaints against the FSA
    • COB Conduct of Business
    • COBS New Conduct of Business sourcebook
    • COLL New Collective Investment Schemes
    • COMP Compensation
    • COND Threshold Conditions
    • CRED Credit Unions
    • DEC Decision making Manual
    • DISP Dispute resolution: Complaints
    • ECO Electronic Commerce Directive
    • ELM Electronic Money
    • ENF Enforcement Manual
    • FIT The Fit and Proper Test for Approved Persons
    • FEES Fees Manual
    • GEN General Provisions
    • GENPRU General Prudential
    • INSPRU Prudential sourcebook for Insurers
    • IPRU-INV Interim Prudential sourcebook for Investment Businesses
    • MAR Market Conduct
    • MCOB Mortgages: Conduct of Business
    • PRIN Principles for Businesses
    • PROF Professional Firms
    • REC Recognised Investment Exchanges and Recognised Clearing Houses
    • SUP Supervision Manual
    • SYSC Senior Management Arrangements, Systems and Controls
    • TC Training and Competence
    • UPRU Prudential sourcebook for UCITS Firms
    • Approved Persons Regime
      • APER Statements of Principle and Code of Practice for Approved Persons
      • FIT The Fit and Proper Test for Approved Persons
      • SUP 10 Approved persons
      • Approved Persons Regime Forms
      • Approved Persons Regime - summary of forms and their use
      • SUP 10.4 Specification of functions
      • SUP 10.4.5 Table of Controlled functions
      • ENF 11.5 Action against approved persons
      • FiSMA Part V Performance of regulated activities
    • Special guides (not forming part of the FSA Handbook)
      • PERG Perimeter Guidance Manual
      • EMPS Energy Market Participants
      • OMPS Oil Market Participants
      • SERV Service companies
    • Not currently part of this product
      • ICOB Insurance: Conduct of Business
      • IPRU-BANK Interim Prudential sourcebook for Banks
      • IPRU-BSOC Interim Prudential sourcebook for Building Societies
      • IPRU-FSOC Interim Prudential sourcebook for Friendly Societies
      • IPRU-INS Interim Prudential sourcebook for Insurance
      • Insurance Company, Friendly Society, Pensions and Irish Regulations
  • Unit Trusts & OEICs (incl IMA)
    • IMA Investment Management Association
    • IMA Circulars
    • CIS Collective Investment Schemes
    • COLL New Collective Investment Schemes
    • OEIC Regulations 2001
    • IPRU-INV Interim Prudential Sourcebook: Investment Business
    • UCITS Directive
    • UPRU Prudential sourcebook for UCITS Firms
  • ISAs, PEPs & CTFs (incl TISA)
    • TISA Tax Incentivised Savings Association
      • Contact details
      • TISA Annual Conference
    • TISA Technical Bulletins
    • ISA Regulations
    • ISA Guidance Notes
    • PEP and ISA Bulletins
    • CTFs Child Trust Funds
    • ISA Regulations Glossary
    • PEP Regulations
    • PEP Regulations Glossary
  • Legislation (Acts & SIs)
    • FiSMA Financial Services and Markets Act 2000
    • Statutes (Acts)
      • Statutes Listing
      • Bank of England Act 1998 [Extracts from]
      • Banking Act 1987 [Extracts from] [Repealed]
      • Child Trust Funds Act 2004
      • Companies Act 1985 [Extracts from]
      • Companies Act 1989 [Extracts from]
      • Criminal Justice Act 1993 [Extracts from]
      • Electronic Communications Act 2000
      • Enduring Powers of Attorney Act 1985
      • Enterprise Act 2002 [Schedule 25 only]
      • Income and Corporation Taxes Act 1988 [Extracts from]
      • Insolvency Act 1986 [Extracts from]
      • Land Registration Act 2002 [Extracts from]
      • Law of Property Act 1925 [Extracts from]
      • Limited Liability Partnerships Act 2000
      • Powers of Attorney Act 1971
      • Regulation of Financial Services (Land Transactions) Act 2005
      • Sarbanes-Oxley Act of 2002
      • Serious Organised Crime and Police Act 2005 [Extracts from]
      • Taxation of Chargeable Gains Act 1992 [Extracts from]
      • Terrorism Act 2000
      • Trustee Act 1925
      • Trustee Investments Act 1961
      • Trusts of Land and Appointment of Trustees Act 1996
      • Unit Trust Records Regulations 1946
      • Welfare Reform and Pensions Act 1999
    • Statutory Instruments (SIs)
      • Statutory Instruments
      • Statutory Instruments 2008
      • Statutory Instruments 2007
      • Statutory Instruments 2006
      • Statutory Instruments 2005
      • Statutory Instruments 2004
      • Statutory Instruments 2003
      • Statutory Instruments 2002
      • Statutory Instruments 2001
      • Statutory Instruments 2000
      • Statutory Instruments 1999
      • Statutory Instruments 1998
      • Statutory Instruments 1997
      • Statutory Instruments 1996
      • Statutory Instruments 1995
      • Statutory Instruments 1994
      • Statutory Instruments 1993
      • Statutory Instruments 1992
      • Statutory Instruments 1991
      • Statutory Instruments 1990
      • Statutory Instruments 1989
      • Statutory Instruments 1988
      • Statutory Instruments 1946
    • Regulated Activities Order (SI 2001/544)
    • Trustee Act 2000
    • Proceeds of Crime Act 2002
    • Data Protection Act 1998
  • Europe
    • Europe
    • Member States
    • Members of the Euro Zone
    • CESR Committee of European Securities Regulators
    • FATF Financial Action Task Force
    • OECD Organisation for Economic Co-operation and Development
    • European Directives
      • European Directives
      • Banking Consolidation (Credit Institutions)
      • Deposit-Guarantee Schemes
      • Distance Marketing
      • Fair Value
      • Financial Groups (Financial Conglomerates)
      • Investment Services
      • Investor-Compensation Schemes
      • Market Abuse
      • Markets in Financial Instruments (revised Investment Services Directive)
      • Money Laundering
      • PLC Safeguards
      • Prospectus
      • Protection of Consumers in respect of Distance Contracts
      • Savings
      • Second Life
      • Settlement finality in payment and securities settlement systems
      • Third Life
      • Transparency
      • UCITS
  • UK Listing
    • LR Listing Rules
    • PR Prospectus Rules
    • DTR Disclosure Rules and Transparency Rules
    • UKLA UK Listing Authority
    • UKLA Publication: LIST! Newsletters
    • UKLA Publication: Market Watch Newsletters
    • London Stock Exchange
    • City Code on Takeovers and Mergers
    • Rules of the London Stock Exchange
    • Panel on Takeovers and Mergers
  • Taxation
    • HMRC HM Revenue & Customs
    • Rates of Tax and Allowances
    • VAT Value Added Tax
    • Business Briefs
    • Consultation Documents, Discussion Papers, Policy Statements
    • Extra-Statutory Concessions
    • Finance Acts
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    • Income and Corporation Taxes Act 1988 (Extracts from)
    • Offshore funds that have applied for and been granted UK distributor status
    • Press Releases
    • Publications
    • Recognised Stock Exchanges
    • Stamp Office
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    • Shares of Negligible Value
    • Tax Bulletins
    • Guidance Notes
      • Manual: CTM48000 - Authorised investment funds
      • PEP and ISA Guidance Notes
      • SDRT regime for UTs and OEICs
      • Stamp Taxes Manual
    • ISAs, PEPs & CTFs
      • CTF Child Trust Funds
      • ISA Regulations
      • ISA Regulations Glossary
      • PEP and ISA Guidance Notes
      • PEP and ISA Bulletins
      • PEP Regulations
      • PEP Regulations Glossary
      • TISA/PIMA Tax Incentivised Savings Association
    • Tax Regulations
      • Capital Gains Tax
      • Child Trust Funds
      • Corporation Tax
      • Income Tax
      • ISAs Individual Savings Accounts
      • OEICs Open-ended Investment Companies
      • PEPs Personal Equity Plans
      • Pensions
      • SDRT Stamp Duty and Stamp Duty Reserve Tax
      • Unit Trusts
      • Finance Acts/Bills
      • Value Added Tax
  • Trustees & Depositaries
    • BoNY Bank of New York Trust & Depositary Co Ltd
    • BBH Brown Brothers Harriman Investor Services Limited
    • CTCL Citicorp Trustee Company Limited
  • Accounting and Other items
    • Accounting
      • ACCA Financial Services Network Programme
        • 7 February 2008 Money Laundering Brains Trust
        • 19 March 2008 BVCA and the Walker report into transparency in Private Equity
        • 6 May 2008 Islamic Finance
        • 24 June 2008 EU Financial Services Legislation Update
      • SORPs Statements of Recommended Practice
      • IMA SORP for authorised funds
      • SORP for Financial Statements of Investment Trust Companies
      • ASB UK Accounting Standards
      • IASC International Accounting Standards
      • Reporting Standards
    • Charity Commissioners
    • Pension Fund Pooling Vehicles
    • Association of Investment Trust Companies
  • 3d JMLSG Anti Money Laundering Guidance
    • Anti Money Laundering
    • Money Laundering Guidance Notes
    • Money Laundering Regulations
    • Proceeds of Crime Act 2002
    • 2nd Money Laundering Directive (2001/97/EEC)
    • 3rd Money Laundering Directive (2005/60/EEC)
    • FATF Financial Action Task Force
      • FATF Financial Action Task Force
      • FATF The Forty Recommendations
    • SOCA The Serious Organised Crime Agency
    • JMLSG Joint Money Laundering Steering Group
    • Terrorism Act 2000
    • European ML Directives - Versions held within 3d
    • ML Guidance - Versions held within 3d
    • ML Regulations - Versions held within 3d
  • Abbreviations
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Contents > Deadlines

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Deadlines

  • 28 August 2008
    IMA: Comments are invited on its draft response to the FSA discussion paper on Transparency as a Regulatory Tool
  • 28 August 2008
    IMA: Comment required on Draft guidelines to address over-reliance upon credit ratings by investors
  • 28 August 2008
    IMA: Comments are invited on EU Proposal for a Directive/Regulation regarding the authorisation, operation and supervision of Credit Rating Agencies and EU Proposals for Tackling the Problem of Excessive Reliance on Ratings
  • 29 August 2008
    Comments required on FSA Discussion Paper 08/3 Transparency as a Regulatory Tool
  • 29 August 2008
    Response required to FSA Consultation Paper 08/10 Decision Procedure and Penalties manual and Enforcement Guide Review 2008
  • 2 September 2008
    IMA: Comments required on draft response to the IASB's Discussion Paper on Financial Instruments with Characteristics of Equity
  • 2 September 2008
    IMA: Comments invited on the IMA's draft response to the FRC's Consultation Paper on Proposals for Future Arrangements for Funding the FRC's Activities in Relation to Accounting, Auditing and Corporate Governance
  • 3 September 2008
    Response required to FSA Consultation Paper FSA Consultation Paper 08/11: With-profits funds – compensation and redress
  • 3 September 2008
    IMA: Comment required on draft response to CP08/12: UCITS Concentration and Acquisition Rule
  • 5 September 2008
    Response required to European Commission Consultations on Credit Rating Agencies
  • 5 September 2008
    IMA: Comments are invited on draft response to FSA Miscellaneous CP08/12
  • 5 September 2008
    IMA: Comment required on draft response FSA CP08/12 - RIY Sunset Clause
  • 6 September 2008
    FSA Handbook: Amendment (2008/33) to COBS in force
  • 9 September 2008
    Response required to FSA Consultation Paper 08/12: Quarterly consultation (No. 17)
  • 12 September 2008
    Response required to CESR consultation paper on DRAFT CESR statement: Fair value measurement and related disclosures of financial instruments in illiquid markets
  • 15 September 2008
    Response required to FSA, HM Treasury & Bank of England joint Consultation: Financial stability and depositor protection: further consultation
  • 15 September 2008
    Response required to HM Treasury Consultation: Financial stability and depositor protection: special resolution regime
  • 15 September 2008
    Response required to CESR MiFID Transposition Quality Check: Call For Evidence
  • 16 September 2008
    Feedback required on CESR Consultation on Guidelines for the Assessment of Mergers and Acquisitions
  • 19 September 2008
    Response required to CESR Call for evidence on a formal request for technical advice on identification of regulatory arrangements for post-trading infrastructures
  • 30 September 2008
    Response required to draft CESR guidance and information on the common operation of the Market Abuse Directive to the market
  • 30 September 2008
    Response required to FSA Consultation Paper 08/13: Disclosure of liquidity support
  • 30 September 2008
    **Revised Date**: Trust or Company Service Providers to register their businesses with HMRC under the new Money Laundering Regulations
  • 1 October 2008
    Accountancy Service Providers to register their businesses with HMRC under the new Money Laundering Regulations
  • 1 October 2008
    VAT amended for management of open-ended collective investment schemes
  • 3 October 2008
    Response required to HM Treasury consultation on the implementation of the Payment Services Directive
  • 3 October 2008
    Response required to CESR consultation on their Guidelines for the prudential assessment of acquisitions and increase of holdings in the financial sector required by Directive 2007/44/EC
  • 9 October 2008
    Response required to HM Treasury consultation on extending the statutory regime on liability for fraudulent misstatement by issuers of securities
  • 15 October 2008
    Response required to HM Treasury consultation paper on Proposals for a Legislative Reform Order for Credit Unions and Industrial & Provident Societies in Great Britain
  • 16 October 2008
    Response required to HM Treasury consultation on proposals to reform Part 7 of the 1989 Companies Act
  • 17 October 2008
    Comment required on CESR Consultation Paper: Risk management principles for UCITS
  • 22 October 2008
    Response required to HM Treasury discussion paper on Tax elected funds (TEFs)
  • 22 October 2008
    Response required to HM Treasury consultation paper on Qualified Investor Scheme: replacing the substantial holding rule
  • 22 October 2008
    Response required to HM Treasury consultation paper: Investment Trust Companies: A Tax Framework
  • 31 October 2008
    FSA Handbook: Amendment (2008/39) to GEN in force
  • 1 November 2008
    FSA Handbook: (2008/36) Amendment to COBS in force
  • 6 April 2009
    Personal Equity Plan (PEP) Regulations cease to have effect on this date
  • 6 April 2009
    Requirement for CTF providers to receive the CTF voucher in order to open the account will be removed
  • 30 June 2009
    COLL 4.6.9 and Note (5) to paragraph (14) of COLL 4.6.8R cease to have effect
  • 1 October 2009
    FSA Handbook: Amendment (2008/39 Part 2) to GEN in force
  • 1 November 2009
    Payment Services Directive to be implemented in all EU Member Sates by this date
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