Contents
Site updated 30 Jul 2010
- - Latest additions
- - Events
- - Deadlines
- - About us
- - Contact us
- - FAQs
- - Watch List Checking
Regulation (FSA, ML, HMT etc)
- Financial Services Authority
- FSA - Financial Services Authority
- FSA Handbook of Rules and Guidance
- Annual Reports and Management Plans
- Asset Management Newsletters
- Best Execution
- Board Minutes
- Capital Markets Bulletins
- CEO Letters
- Client categorisation
- Consultation Papers
- Discussion Papers
- Enforcement Notices and Application refusals
- EU Documents
- Factsheets and other Consumer Publications
- General Insurance Newsletters
- Handbook Development Newsletters
- Handbook Legal instruments
- Handbook Notices
- Integrated Regulatory Reporting
- Investment research
- Life Insurance Newsletters
- MiFID Related Documents
- Occasional Papers
- Organisation Chart
- Other Reports
- Outsourcing
- Policy Statements
- Press Releases
- Recognised Bodies
- Special Guides
- Speeches
- Statements
- Waivers
- International Jurisdictions
- 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
- FSA Financial Crime Newsletters
- Suggested MLRO good practice framework
- Institute of Money Laundering Prevention Officers
- Bank of England
- HM Treasury
- Mortgages
- Insurance Company, Friendly Society, Pensions and Irish Regulations
- 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
- 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
- SORP for authorised funds
- UCITS Directive
- UCITS Section V Obligations re investment policies
- UPRU Prudential sourcebook for UCITS Firms
- ISAs, PEPs & CTFs (incl TISA)
- Legislation (Acts & SIs)
- FiSMA Financial Services and Markets Act 2000
- FiSMA 2000 Schedule 2 Regulated Activities
- 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
- Europe
- EC Press Releases
- EC Speeches
- Member States
- Members of the Euro Zone
- European Directives
- European Directives
- Banking Consolidation (Credit Institutions)
- CRD Capital Requirements
- Deposit-Guarantee Schemes
- Distance Marketing
- Distance Selling (Telesales)
- Eligible Assets
- Fair Value
- Financial Groups (Financial Conglomerates)
- Investor-Compensation Schemes
- Life Assurance
- Market Abuse
- Mergers and Acquisitions
- MiFID (Markets in Financial Instruments)
- Money Laundering
- Payment Services
- PLC Safeguards
- Prospectus
- Savings
- Settlement Finality
- Transparency
- UCITS
- Unfair Commercial Practices
- FATF Financial Action Task Force
- CESR Committee of European Securities Regulators
- CEBS Committee of European Banking Supervisors
- CEIOPS Committee of European Insurance and Occupational Pensions Supervisors
- 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
- MIPRU Prudential sourcebook for Mortgage and Home Finance Firms, and Insurance Intermediaries
- Unauthorised mutuals registration fees rules
- FSA Life Insurance Newsletters
- Insurance Company Regulations
- Credit Unions
- 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
- Guidance Notes
- Income and Corporation Taxes Act 1988 (Extracts from)
- Income Tax Act 2007
- ISAs, PEPs & CTFs
- Offshore funds that have applied for and been granted UK distributor status
- Press Releases
- Publications
- Recognised Stock Exchanges
- RPI - Retail Prices Index
- Shares of Negligible Value
- Stamp Office
- Statements of Practice
- Tax Bulletins
- Tax Regulations
- UK Listing
- LR Listing Rules
- PR Prospectus Rules
- DTR Disclosure Rules and Transparency Rules
- UKLA UK Listing Authority
- LIST! Newsletters
- Market Watch Newsletters
- London Stock Exchange
- London Stock Exchange Notices
- Rules of the London Stock Exchange
- City Code on Takeovers and Mergers
- Panel on Takeovers and Mergers
- Trustees & Depositaries
- Accounting and Other items
- Accounting
- ACCA Financial Services Network Programme
- Reporting Standards
- 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
- Pension Fund Pooling Vehicles
- Association of Investment Trust Companies
- 3d JMLSG Anti Money Laundering Guidance
- Anti Money Laundering
- Manual Watch List Checking
- 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
- 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
- Counter-Terrorism Act 2008
- 3d Irish
- Abbreviations
- Additional 3d products
- Latest News
- Training
© 3d Investments Ltd 2010
Latest additions
Click to see a focussed list of the items on 3d issued recently by the following:
CESR,
Europe,
FSA,
FSA Handbook,
HM Revenue & Customs,
Statutory Instruments,
IMA,
TISA
- IMA Circular 2010/290 CESR Advice to EU Commission on MiFID Review (added 30Jul10)
- FSA Consultation Paper 10/19 Revising the Remuneration Code - Newsletter (added 29Jul10)
- IMA Circular 2010/289 FSA consults on revising its Remuneration Code (added 29Jul10)
- CESR/10-903 Press Release: CESR sets out final guidelines on risk measurement and the calculation of global exposure and counterparty risk for UCITS (added 29Jul10)
- CESR/10-788 CESR’s Guidelines on Risk Measurement and the Calculation of Global Exposure and Counterparty Risk for UCITS (added 29Jul10)
- FSA Handbook Development Newsletter No 125 (added 29Jul10)
- CESR/10-798 Feedback Statement: CESR’s Guidelines on Risk Measurement and the Calculation of Global Exposure and Counterparty Risk for UCITS (added 29Jul10)
- IMA Circular 2010/288 Risk Measurement for UCITS - CESR Guidelines published (added 29Jul10)
- IMA Circular 2010/287 2010 Update to the OECD Model Tax Convention: CIVs (added 29Jul10)
- IMA Circular 2010/286 ECON Draft Report on Regulation of Trading in Financial Instruments (added 29Jul10)
- IMA Circular 2010/285 CESR consults on OTC Derivative transaction reporting standards (added 29Jul10)
- IMA Circular 2010/284 FSA consultation on strengthening capital standards (added 29Jul10)
- IMA Circular 2010/283 Modernising Tax Rules for Investment Trust Companies (added 29Jul10)
- FSA Consultation Paper 10/18 Implementing aspects of the Financial Services Act 2010 - Newsletter (added 29Jul10)
- FSA Consultation Paper 10/17 Strengthening Capital Standards 3 - feedback to CP09/29, final rules for CRD2, and further consultation - Newsletter (added 29Jul10)
- IMA Circular 2010/282 FSA feedback on Short Selling (post CP10/11) and further consultation on FSCS rules (CP10/18) (added 29Jul10)
- TISA Technical Bulletin 2010 624 CF Arch Cru Funds Liquidation: ISA implications (added 29Jul10)
- FSA 2010/39 UK Corporate Governance Code (Handbook Amendments) Instrument 2010 (added 28Jul10)
- FSA 2010/32 Client Assets Sourcebook (Amendment No 3) Instrument 2010 (added 28Jul10)
- HM Treasury Press Notice 10/34 Government invites views on tax policies (added 27Jul10)
- TISA Technical Bulletin 2010 623 Child Trust Funds: Amending Regulations take effect from 1/2 August (added 27Jul10)
- Statutory Instrument 2010/1897 The Stamp Duty and Stamp Duty Reserve Tax (Investment Exchanges and Clearing Houses) Regulations (No. 4) 2010 (added 27Jul10)
- Financial Reporting Council: FRC invites stakeholder views on Government proposals (added 27Jul10)
- Statutory Instrument 2010/1894 The Child Trust Funds (Amendment No. 3) Regulations 2010 (added 26Jul10)
- FSA Handbook Notice 102 (added 26Jul10)
- FSA Feedback Statement: Guidance Note No. 10 (2010): Consumer Redress Schemes – Feedback to respondents (added 26Jul10)
- FSA Press Release 2010/125 FSA statement on the publication of CEBS stress tests (added 26Jul10)
- FSA Press Release 2010/124 FSA announces tougher prudential standards for credit unions (added 26Jul10)
- FSA Press Release 2010/123 FSA implements new powers granted by Financial Services Act 2010 (added 26Jul10)
- FSA Final Notice: Stanley Brown trading as Stanley Brown Insurance Services (added 26Jul10)
- FSA Guidance Note No. 10 (2010): Consumer Redress Schemes (added 26Jul10)
- IMA Circular 2010/281 HMT Consultation: A new approach to financial regulation (added 26Jul10)
- IMA Circular 2010/280 FSA CP on implementing the Financial Services Act 2010 (added 26Jul10)
- HM Treasury Consultation Paper: A new approach to financial regulation: judgement, focus and stability (added 26Jul10)
- HM Treasury Press Notice 10/32 Financial Secretary to the Treasury launches consultation on the implementation of financial regulation reforms announced at Mansion House (added 26Jul10)
- IMA Circular 2010/278 Market Watch 35 (added 26Jul10)
- IMA Circular 2010/277 UCITS IV – FSA Survey on the costs and benefits of implementation (added 26Jul10)
- IMA Circular 2010/276 OTC / Central Clearing CP (added 26Jul10)
- IMA Circular 2010/275 Securities Law Directive and Central Securities Depositories proposals (added 26Jul10)
- IMA Circular 2010/274 CESR Consults on MiFID Review – Client Categorisation (added 22Jul10)
- IMA Circular 2010/273 The UK Financial Reporting Framework (added 22Jul10)
- IMA Circular 2010/272 The UK Financial Reporting Framework (added 22Jul10)
- IMA Circular 2010/271 IMA draft response to EU Commission CP on revising the Transparency Directive (added 22Jul10)
- CESR/10-532 Consultation paper - A guide to clear language and layout for the Key Investor Information document (KII) (added 22Jul10)
- Statutory Instrument 2010/1877 The Stamp Duty and Stamp Duty Reserve Tax (Investment Exchanges and Clearing Houses) Regulations (No. 3) 2010 (added 22Jul10)
- CESR/10-672 Consultation paper - CESR's Guidelines for the transition from the Simplified Prospectus to the Key Investor Information document (added 22Jul10)
- CESR/10-530 Consultation paper - CESR's level 3 guidelines on the selection and presentation of performance scenarios in the Key Investor Information document (KII) for structured UCITS (added 22Jul10)
- CESR/10-809 Consultation paper - Transaction Reporting on OTC Derivatives and Extension of the Scope of Transaction Reporting Obligations (added 22Jul10)
- CESR/10-794 Consultation paper - CESR's template for the Key Investor Information document (added 22Jul10)
- IMA Circular 2010/270 KII - further CESR consultations (added 22Jul10)
- IMA Circular 2010/269 Remuneration - CRD (added 22Jul10)
- IMA Circular 2010/268 Commission Consults on European Contract Law (added 22Jul10)
- IMA Circular 2010/266 Authorised Funds: In specie redemptions (added 22Jul10)
- TISA Technical Bulletin 2010 622 Non-Resident ISA holders - Confirmation of options (added 21Jul10)
- Infoline course: A Practical Introduction to Compliance Monitoring in an Outcomes-Focused Regulatory Environment (added 21Jul10)
- Infoline course: Introduction to FSA Regulation & Compliance (added 21Jul10)
- IMA Circular 2010/265 IASB Exposure Draft, ED/2010/4, Fair Value Option for Financial Liabilities (added 21Jul10)
- IMA Circular 2010/264 CEBS consults on the management of operational risks in market related activities (added 21Jul10)
- HMRC: Money Laundering Regulations – New Anti money laundering guidance (added 21Jul10)
- HM Treasury Press Notice 10/29 Office of Tax Simplification (added 21Jul10)
- FSA Press Release 2010/122 FSA secures £3.7 million compensation for victims of Upton & Co unauthorised collective investment scheme (added 20Jul10)
- CESR/08-742 Updated - Measures adopted by CESR Members on short-selling (added 20Jul10)
- CESR/10-610 Consultation paper - Standardisation and exchange trading of OTC derivatives (added 20Jul10)
- BIS: Basel Committee on Banking Supervision: Progress on regulatory reform package (added 20Jul10)
- Guernsey Financial Services Commission: Business from Sensitive Sources Notice 10 for Financial Services Businesses and Notice 8 for Prescribed Businesses (added 20Jul10)
- HMRC Shares of Negligible Value: Changes 30 June 2010 (added 20Jul10)
- CEBS today publishes its consultation paper on guidelines on Article 122a of the Capital Requirements Directive (added 19Jul10)
- CEBS has commented on the IASB's Reporting Entity ED (added 19Jul10)
- CEBS today publishes for consultation its draft guidelines on revised Article 3 of Directive 2006/48/EC (added 19Jul10)
- CEBS’s Press Release on state of play with the 2010 EU-Wide Stress Testing Exercise (added 19Jul10)
- CEBS’s Statement on the time of publication of the results of the EU-Wide Stress Testing Exercise (added 19Jul10)
- CEBS has commented on the IASB's Fair Value Option for Financial Liabilities ED (added 19Jul10)
- FSA Letter: Legal Expenses Insurance (LEI) (added 19Jul10)
- FSA Press Release 2010/121 FSA fines father and son for market abuse (added 19Jul10)
- FSA Final Notice: Jeremy Burley (added 19Jul10)
- FSA Final Notice: Jeffery Burley (added 19Jul10)
- FSA Final Notice: Michael Darfoor trading as Solutions Financial Services (added 19Jul10)
- FSA Final Notice: Andrew Brace trading as Andrew Brace Financial Services (added 19Jul10)
- FSA Final Notice: Tasos Lambrou trading as Tudor Mortgages (added 19Jul10)
- FSA Final Notice: Scott Robert Merrell (added 19Jul10)
- FSA Consultation Paper 10/16 Mortgage Market Review - Responsible Lending - Newsletter (added 17Jul10)
- FSA Market Watch Newsletter 35 - July 2010 (added 17Jul10)
- FSA Final Notice: Redstone Mortgages Limited (added 17Jul10)
- Statutory Instrument 2010/1824 The Stamp Duty and Stamp Duty Reserve Tax (Investment Exchanges and Clearing Houses) (Over the Counter) Regulations 2010 (added 16Jul10)
- Statutory Instrument 2010/1819 The Stamp Duty and Stamp Duty Reserve Tax (Investment Exchanges and Clearing Houses) Regulations (No. 2) 2010 (added 16Jul10)
- Statutory Instrument 2010/1818 The Stamp Duty and Stamp Duty Reserve Tax (Investment Exchanges and Clearing Houses) Regulations 2010 (added 16Jul10)
- IMA Circular 2010/256 CP10/12: Competence and ethics - Draft Response (added 16Jul10)
- IMA Circular 2010/254 Offshore Reporting Funds: updated list of acceptable GAAPs (added 16Jul10)
- FSA Final Notice: David Richard Head (added 15Jul10)
- FSA Speech by Adair Turner: The future of finance (added 15Jul10)
- FSA Speech by Adair Turner: Protecting Consumers and Winning Trust (added 15Jul10)
- FSA Press Release 2010/120 Redstone Mortgages Limited fined £630,000 for unfair treatment of some customers in arrears (added 15Jul10)
- FSA Press Release 2010/119 FSA Chairman calls for debate (added 15Jul10)
- FSA Press Release 2010/118 FSA moves to make sure all borrowers with a new mortgage can afford it (added 15Jul10)
- FSA Press Release 2010/117 FSA fines network director for putting customers at risk of receiving unsuitable advice on PPI (added 15Jul10)
- IMA Circular 2010/263 Exposure Draft: SORP for Authorised Funds (added 15Jul10)
- IMA Circular 2010/262 ICMA ERC European Repo Market White Paper (added 15Jul10)
- IMA Circular 2010/261 EC Publication of UCITS IV Level 2 implementing measures (added 15Jul10)
- HM Treasury Press Notice 10/28 The Government launches a consultation on removing the requirement to annuitise by age 75 (added 15Jul10)
- IMA Circular 2010/260 Bank Levy: HM Treasury Consultation (added 15Jul10)
Full list of 3d pages open to the public with reference dates
Full list of 3d pages awaiting publication