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Site updated 11 Mar 2010
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- FSA Handbook of Rules and Guidance
- Contents
- Glossary
- Rule-making instruments
- 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
- FiSMA Part V Performance of regulated activities
- BCOBS Banking Conduct of Business
- BIPRU Prudential sourcebook for Banks, Building Societies and Investment Firms
- CASS Client Assets
- COAF Complaints against the FSA
- COBS New Conduct of Business sourcebook
- COLL New Collective Investment Schemes
- COMP Compensation
- COND Threshold Conditions
- CRED Credit Unions
- DEPP Decision Procedure and Penalties
- DISP Dispute resolution: Complaints
- DTR Disclosure Rules and Transparency Rules
- ELM Electronic Money
- FEES Fees Manual
- FIT The Fit and Proper Test for Approved Persons
- GEN General Provisions
- GENPRU General Prudential
- ICOBS Insurance: Conduct of Business
- INSPRU Prudential sourcebook for Insurers
- 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
- IPRU-INV Interim Prudential sourcebook for Investment Businesses
- LR Listing Rules
- MAR Market Conduct
- MCOB Mortgages: Conduct of Business
- MIPRU Prudential sourcebook for Mortgage and Home Finance Firms, and Insurance Intermediaries
- PR Prospectus Rules
- PRIN Principles for Businesses
- PROF Professional Firms
- RCB Regulated Covered Bonds
- 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
- Special guides (not part of Handbook)
- Regulatory Guides
- Interim Permitted Persons
- Unauthorised mutuals registration fees rules
- BIPRU 13.3 Calculation of exposure values
- Unit Trusts & OEICs (incl IMA)
- IMA Investment Management Association
- IMA Circulars
- Funds-Axis
- BIPRU Prudential sourcebook for Banks, Building Societies and Investment Firms
- CASS Client Assets sourcebook
- CIS Collective Investment Schemes
- COBS 3.5 Professional clients
- COBS 3.6 Eligible counterparties
- COLL New Collective Investment Schemes
- COLL 5.2 General investment powers and limits for UCITS schemes
- COLL 6.2 Dealing
- COLL 6.3 Valuation and pricing
- COLL 6.8 Income: accounting, allocation and distribution
- Eligible Assets Directive
- FSA Asset Management Newsletters
- IPRU-INV Interim Prudential Sourcebook: Investment Business
- OEIC Regulations 2001
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- ISAs, PEPs & CTFs (incl TISA)
- Legislation (Acts & SIs)
- FiSMA Financial Services and Markets Act 2000
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- Statutes (Acts)
- Statutes Listing
- Bank of England Act 1998
- Child Trust Funds Act 2004
- Companies Act 1985
- Companies Act 1989
- Companies Act 2006
- Criminal Justice Act 1993
- Data Protection Act 1998
- Electronic Communications Act 2000
- Enterprise Act 2002
- FiSMA Financial Services and Markets Act 2000
- Income and Corporation Taxes Act 1988
- Income Tax Act 2007
- Insolvency Act 1986
- Investment Exchanges and Clearing Houses Act 2006
- Land Registration Act 2002
- Law of Property Act 1925
- Limited Liability Partnerships Act 2000
- Powers of Attorney Act 1971
- Proceeds of Crime Act 2002
- Regulation of Financial Services (Land Transactions) Act 2005
- Sarbanes-Oxley Act of 2002
- Serious Organised Crime and Police Act 2005
- Taxation of Chargeable Gains Act 1992
- Terrorism Act 2000
- Terrorism Act 2006
- Trustee Act 1925
- Trustee Act 2000
- 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)
- Regulated Activities Order (SI 2001/544)
- Trustee Act 2000
- Proceeds of Crime Act 2002
- Data Protection Act 1998
- Case Law - BAILII
- Europe
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- EC Press Releases
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- OECD Organisation for Economic Co-operation and Development
- Insurance
- FSA Handbook of Rules and Guidance
- COBS New Conduct of Business sourcebook
- GENPRU General Prudential sourcebook
- ICOBS Insurance: Conduct of Business
- INSPRU Prudential sourcebook for Insurers
- IPRU(FSOC) Interim Prudential sourcebook for Friendly Societies
- IPRU(INS) Interim Prudential Sourcebook: Insurers
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- Accounting
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- IMA SORP Financial Statements of Authorised Funds
- SORPs Statements of Recommended Practice
- ASB UK Accounting Standards
- IASC International Accounting Standards
- SORP for Financial Statements of Investment Trust Companies
- PricewaterhouseCoopers: news releases
- Manual Watch List Checking
- Charity Commissioners
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- 3d JMLSG Anti Money Laundering Guidance
- Anti Money Laundering
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- 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
- ML Regulations - Versions held within 3d
- Terrorism Act 2006
- ML Guidance - Versions held within 3d
- European ML Directives - Versions held within 3d
- Anti-terrorism, Crime and Security Act 2001
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- 3d Irish
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© 3d Investments Ltd 2010
Latest additions
- FSA Press Release 2010/043 Former Cazenove broker sentenced to 21 months in prison for insider dealing (added 11Mar10)
- FSA Press Release 2010/042 New joint committee proposed to enhance consumer protection (added 11Mar10)
- FSA Handbook Development Newsletter No 120 February 2010 (added 11Mar10)
- FSA Handbook Notice 97 February 2010 (added 11Mar10)
- European Commission Press Release IP/10/211 Internal Market Scoreboard: Member States post best-ever result but action still needed on practical application of rules (added 11Mar10)
- IMA Circular 2010/100 FSA CP10/5: Regulatory fees and levies – draft response from IMA (added 11Mar10)
- FSA Speech by Thomas F. Huertas: Living Wills: How Can the Concept be Implemented? (added 11Mar10)
- European Commission Speech/10/52: Informal remarks - restoring confidence in financial markets (added 11Mar10)
- London Stock Exchange Notice N04/10 Consultation on Proposed Amendments to the Default Rules (added 11Mar10)
- Isle of Man FSC Press Release: Anti-Money Laundering and Countering the Financing of Terrorism Handbook (added 11Mar10)
- FSA Speech by Linda Woodall: What intensive supervision means for small firms (added 11Mar10)
- PricewaterhouseCoopers News Release: PwC Survey: Solvency II drives European insurers towards run-off to unlock value in their businesses (added 11Mar10)
- Isle of Man FSC Press Release: Review of Authorised Collective Investment Schemes Regulations (added 11Mar10)
- FSA Final Notice: Mr Bertie Charles Hatcher (added 11Mar10)
- FSA Press Release 2010/041 Former Cazenove partner found guilty of insider dealing (added 11Mar10)
- FSA Final Notice: Jim Fanning trading as James Fanning Financial Services (added 11Mar10)
- TISA Technical Bulletin 608 Child Trust Funds - Amendments to Regulations and other reminders (added 10Mar10)
- FSA Financial Risk Outlook 2010 (added 10Mar10)
- FSA Press Release 2010/040 FSA publishes Financial Risk Outlook (added 10Mar10)
- FSA Press Release 2010/039 FSA update on PPI reforms (added 10Mar10)
- HM Treasury Budget 2010: The Chancellor has announced the date he will deliver his Budget to Parliament (added 10Mar10)
- CESR/09-324 Updated: Waivers from Pre-trade Transparency Obligations under MiFID (added 10Mar10)
- FSA 2010/xx DRAFT Dispute Resolution: Complaints (Payment Protection Insurance) Instrument 2010 (added 10Mar10)
- FSA 2010/07 Listing Rules Sourcebook (Amendment No 4) Instrument 2010 (added 9Mar10)
- IMA Circular 2010/099 Draft IMA response to HMT consultation on managing complex creditor positions (added 9Mar10)
- Child Trust Fund Bulletin Number 43 Mrs CTF Liaison Officer, Extended filing period, annual information returns, Customer Contact Online Services, Amendment Regulations (added 9Mar10)
- FSA Consultation Paper 10/06 The assessment and redress of Payment Protection Insurance complaints - Feedback on CP09/23 and further consultation (added 9Mar10)
- FSA Final Notice: Mr Adam John Lucas trading as People Loans (added 9Mar10)
- FSA Statement: Liquidity Calibration statement (added 9Mar10)
- Germany Financial Supervisory Authority General Decree on the introduction of a transparency obligation for net short-selling positions (added 8Mar10)
- IMA Circular 2010/098 Germany updates its short selling disclosure regime (added 8Mar10)
- IMA Circular 2010/097 HMT Consultation on Investment Firm resolution – Cost Benefit Analysis (added 8Mar10)
- CESR/10-222 Frequently Asked Questions: The EU Regulation on Credit Rating Agencies: Common Positions agreed by CESR Members (added 8Mar10)
- IMA Circular 2010/096 Winding up and terminating AUTs: Final response to FSA CP10/01 Chapter 4 (added 8Mar10)
- IMA Circular 2010/095 Draft IMA Response to HMT Consultation on Reconciling and Returning Client Property (added 8Mar10)
- Hong Kong Securities and Futures Commission Press Release: SFC to adopt new short-position reporting regime (added 8Mar10)
- CESR/10-299 Letter to the Commission: Pan-European Short Selling Disclosure Regime (added 8Mar10)
- CESR/10-298 Press Release: CESR recommends the European Institutions introduce a pan-European short selling disclosure regime (added 8Mar10)
- CESR/10-089 Feedback Statement: CESR Proposal for a Pan-European Short Selling Disclosure Regime (added 8Mar10)
- CESR/10-088 Report: Model for a Pan-European Short Selling Disclosure Regime (added 8Mar10)
- FATF Interim follow-up report to the Mutual Evaluation of Greece (added 7Mar10)
- FSA Press Release 2010/038 FSA fines IFA director £49,000 for putting customers at risk of receiving poor pension switching advice (added 7Mar10)
- FSA Speech by Graeme Ashley-Fenn: Corporate governance - an FSA perspective (added 7Mar10)
- IMA Circular 2010/094 Draft response to HMT consultation on market reforms (added 7Mar10)
- IMA Circular 2010/093 IMA responds to the FRC’s Consultation on the Revised UK Corporate Governance Code (added 7Mar10)
- IMA Circular 2010/092 Draft IMA Response to HMT Consultation on Living Wills (added 7Mar10)
- IMA Circular 2010/091 Authorised Funds: Suspensions Q&A (added 7Mar10)
- IMA Circular 2010/089 SOCA Alert Material: Financial Reporting Orders (added 7Mar10)
- IMA Circular 2010/088 CESR recommends a pan-European short selling disclosure regime (added 7Mar10)
- IMA Circular 2010/087 TPR Consultation on revised guidance on internal controls (added 7Mar10)
- IMA Circular 2010/086 Commission consultation on possible CRD changes (added 7Mar10)
- FSA Final Notice: Oke Hassan (added 7Mar10)
- FSA Final Notice: G & W 5 Limited (added 6Mar10)
- FSA Final Notice: Mr Charles Palmer (added 6Mar10)
- FSA Final Notice: Dele MacAulay (added 6Mar10)
- FSA Final Notice: Dele MacAulay Trading as Dele MacAulay Financial Services (added 6Mar10)
- FSA Press Release 2010/037 FSA fines and bans Bromley mortgage broker for submitting fraudulent mortgage applications (added 6Mar10)
- FSA Statement: Treasury Select Committee Hearing - Too big to fail (added 6Mar10)
- FSA Board Minutes 09-12 Summary minutes of the FSA Board Meeting held on 10 December 2009 (added 6Mar10)
- Statutory Instrument 2010/0582 The Child Trust Funds (Amendment) Regulations 2010 (added 5Mar10)
- IMA Circular 2010/090 HMRC ISA Bulletin No. 18 (added 4Mar10)
- IMA Circular 2010/085 Draft EU Directive on Alternative Investment Fund Managers (added 4Mar10)
- IMA Circular 2010/084 IASB’s ED Management Commentary (added 4Mar10)
- TISA Pensions Briefer January/February 2010 (added 4Mar10)
- TISA Technical Bulletin 607 Bursa Malaysia Stock Exchange (added 4Mar10)
- ISA Bulletin Number 18: Annual Returns of Information for 2009-10, Qualifying investments - ADR and ADS (added 4Mar10)
- FSA 2010/04 Decision Procedure and Penalties Manual (Financial Penalties) Instrument 2010 (added 4Mar10)
- HMRC Shares of Negligible Value - no new agreements during February 2010 (added 4Mar10)
- Bank of England News Release: Bank of England Maintains Bank Rate at 0.5 per cent and Maintains the Size of the Asset Purchase Programme at £200 Billion (added 4Mar10)
- Statutory Instrument 2010/0611 The Terrorism Act 2000 (Proscribed Organisations) (Amendment) Order 2010 (added 4Mar10)
- HMRC: Designation of the Warsaw Stock Exchange as a recognised stock exchange for tax purposes (added 4Mar10)
- FSA 2010/06 Alternative Finance Investment Bonds (Consequential Amendments) Instrument 2010 (added 3Mar10)
- FSA 2010/05 Funds of Alternative Investment Funds Instrument 2010 (added 2Mar10)
- FSA Press Release 2010/036 FSA finalises new framework for financial penalty-setting (added 1Mar10)
- Statutory Instrument 2010/0089 The Cross-Border Payments in Euro Regulations 2010 (added 1Mar10)
- FSA Policy Statement 10/04 Enforcement financial penalties - feedback on CP09/19 (added 1Mar10)
- European Commission Press Release IP/10/197 Financial crisis response: Commission asks stakeholders for views on further possible changes to Capital Requirements Directive - CRD IV (added 1Mar10)
- European Commission MEMO/10/51 Public consultation on the Capital Requirements Directive - CRD IV (added 1Mar10)
- IMA Circular 2010/083 Winding up and terminating AUTs: Draft response to FSA CP10/01 Chapter 4 and draft Q&A (added 27Feb10)
- FSA Policy Statement 10/03 Funds of Alternative Investment Funds (FAIFs) Including feedback on CP08/4 (added 27Feb10)
- FSA Policy Statement 10/02 Listing Regime Review Feedback on CP09/24 and CP09/28 with final rules (added 27Feb10)
- FSAH COLL: 5.7 Investment powers and borrowing limits for NURS operating as FAIFs (added 27Feb10)
- IMA Circular 2010/082 Final rules for FAIFs and feeders for PAIFs (added 27Feb10)
- Securities and Exchange Commission Press Release 2010-26 SEC Approves Short Selling Restrictions (added 27Feb10)
- IMA Circular 2010/081 SEC Approves Short Selling Restrictions (added 26Feb10)
- FATF Chairman's Summary at first joint FATF-MENAFATF Plenary meeting held in Abu Dhabi (added 25Feb10)
- Irish Financial Services Regulatory Authority: Survey of life insurance companies regarding investment products marketed as being invested in cash or partially invested in cash (added 25Feb10)
- Financial Ombudsman Service: ombudsman releases latest complaints data on individual financial businesses (added 25Feb10)
- FSA Report: Assessing possible sources of systemic risk from hedge funds (added 25Feb10)
- FSA Final Notice: RSM Tenon Financial Services Limited (added 25Feb10)
- CESR/08-742 Updated - Measures adopted by CESR Members on short-selling (added 25Feb10)
- FSA Final Notice: Peter Sprung (added 25Feb10)
- FSA Final Notice: Park Row Associates Limited (added 25Feb10)
- FSA Final Notice: Michael Robert Cameron trading as Fidelity Corporate Services (added 25Feb10)
- FSA Press Release 2010/035 FSA fines national financial advice firm £700,000 for failings relating to Lehman-backed structured product sales (added 25Feb10)
- FSA Press Release 2010/034 FSA issues warning about new share scam (added 25Feb10)
- FSA Press Release 2010/033 FSA censures Park Row, announces a customer redress exercise up to £7.8m and fines former CEO £49,000 (added 25Feb10)
- FSA Press Release 2010/032 FSA returns £270,000 to victims of share fraud (added 25Feb10)
- FSA Speech by Dan Waters: Evaluating the prospects for the UK and European market under the Alternative Investment Fund Managers Directive (added 25Feb10)
- FSA Speech by Sally Dewar: Regulatory challenges and developments in the Bond Markets (added 25Feb10)
Full list of 3d pages open to the public with reference dates
Full list of 3d pages awaiting publication