Contents
Site updated 28 Aug 2008
- - Latest additions
- - Events
- - Deadlines
Regulation (FSA, ML, HMT etc)
- Financial Services Authority
- FSA - Financial Services Authority
- FSA Handbook of Rules and Guidance
- Annual Reports and Management Plans
- Board Minutes
- Consultation Papers
- Discussion Papers
- Enforcement Notices and Application refusals
- Factsheets and other Consumer Publications
- Handbook Development Newsletters
- Handbook Legal instruments
- Handbook Notices
- Occasional Papers
- Organisation Chart
- Other Reports
- 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
- HM Treasury
- Bank of England
- Mortgages
- 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
- Glossary
- Rule-making instruments
- 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)
- 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)
- ISAs, PEPs & CTFs (incl TISA)
- 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
- FICO Financial Intermediaries and Claims Office
- 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
- Statements of Practice
- Shares of Negligible Value
- Tax Bulletins
- Guidance Notes
- ISAs, PEPs & CTFs
- Tax Regulations
- Trustees & Depositaries
- Accounting and Other items
- Accounting
- 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
- 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
- Additional 3d products
© 3d Investments Ltd 2008
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