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
Financial Services Authority
Handbook of Rules and Guidance
Rule-making instruments made by the FSA in 2001
Instruments issued in: 2008 2007 2006 2005 2004 2003 2002 2001
Section 153 of the Financial Services and Markets Act 2000 requires the FSA to exercise its rule-making powers in writing. These documents are called 'rule-making instruments'.
20 December 2001
General Provisions and Glossary (Amendment No 3) Instrument 2001
Lists of Investment Exchanges and Clearing Houses Instrument 2001
Conduct of Business Sourcebook (Amendment No 4) Instrument 2001
Market Conduct Sourcebook (Amendment No 4) Instrument 2001
Compensation Sourcebook (Confirmation and Amendment) Instrument 2001
Credit Unions Sourcebook Instrument 2001
Credit Unions Sourcebook (Consequential Amendments) Instrument 2001
15 November 2001
Authorisation Manual (Amendment No 3) Instrument 2001 (AUTH)
Compensation Sourcebook Instrument 2001 (COMP)
Complaints Sourcebook Instrument 2001 (DISP)
Complaints Sourcebook (Revoking) Instrument 2001 (DISP)
Conduct of Business Sourcebook (Amendment No 3) Instrument 2001 (COB)
General Provisions and Glossary (Amendment No 2) Instrument 2001 (GEN) (Glossary)
Individual Pension Accounts (Handbook Amendment) Instrument 2001 (COB) (Glossary) (SUP)
Interim Prudential Sourcebook for Investment Businesses (Amendment) Instrument 2001 (IPRU (INV))
Lloyd's Sourcebook (Amendment) Instrument 2001 (LLD)
Reader's Guide Amendment Instrument 2001 (Reader's Guide)
Special Guide for Small Friendly Societies Instrument 2001 (FREN)
Statements of Principle and Code of Practice for Approved Persons Instrument 2001 (APER)
Statements of Principle and Code of Practice for Approved Persons (Revoking) Instrument 2001 (APER)
Supervision Manual (Amendment No 5) Instrument 2001 (SUP)
Supervision Manual (Amendment No 6) Instrument 2001 (SUP)
Threshold Conditions (Amendment) Instrument 2001 (COND)
Training and Competence Sourcebook (Amendment No 2) Instrument 2001 (TC)
Designation of Pensions Review Provisions Instrument 2001
Interim Permitted Persons Instrument 2001
Listing Rules (Information Dissemination Mechanism Amendment) Instrument 2001
18 October 2001
Authorisation Manual (Amendment No 2) Instrument 2001 (AUTH)
Conduct of Business Sourcebook (Amendment No 2) Instrument 2001 (COB)
Decision Making Manual (Amendment) Instrument 2001 (DEC)
Supervision Manual (Amendment No 3) Instrument 2001 (SUP)
Supervision Manual (Amendment No 4) Instrument 2001 (SUP)
Listing Rules (Financial Services and Markets Act 2000 Amendment) Instrument 2001
20 September 2001
The Interim Prudential Sourcebook for Insurers (Amendment) Instrument 2001
Interim Prudential Sourcebook for Friendly Societies (Amendment) Instruments 2001
Amendments to the Conduct of Business Sourcebook
Supervision Manual (Amendment No 2) Instrument 2001
The Professional Firms Sourcebook (Amendment) Instrument 2001
Market Conduct Sourcebook (Amendment No 3) Instrument 2001
Special Guide for Energy Market Participants Instrument 2001
Special Guide for Oil Market Participants Instrument 2001
General Provisions and Glossary (Amendment) Instrument 2001
Energy Market Participants and Oil Market Participants (Consequential Amendments) Instrument 2001
Authorisation Manual (Amendment) Instrument 2001
Market Conduct Sourcebook (Amendment No 2) Instrument 2001
Training and Competence Sourcebook (Amendment) Instrument 2001
Special Guide for Service Companies Instrument 2001
Complaints Sourcebook Instrument 2001
Collective Investment Schemes (Amendment) Instrument 2001
19 July 2001
The Interim Prudential Sourcebook for Friendly Societies Instrument 2001 [IPRU(FSOC)]
Interim Prudential Sourcebook for Building Societies (Amendment) Instrument 2001 [IPRU(BSOC)]
Complaints Against The FSA Scheme Instrument 2001 [COAF]
Market Conduct Sourcebook (Amendment) Instrument 2001 [MAR]
Fees Instrument 2001 [AUTH] [CIS] [REC]
Supervision Manual (Amendment) Instrument 2001 [SUP]
21 June 2001
Training and Competence Sourcebook Instrument 2001 [TC]
Senior Management Arrangements, Systems and Controls Instrument 2001 [SYSC]
Supervision Manual Instrument 2001 [SUP]
Reader's Guide Instrument 2001 [Reader's Guide]
Recognised Investment Exchange and Recognised Clearing House Sourcebook Instrument 2001 [REC]
The Professional Firms Sourcebook Instrument 2001 [PROF]
Principles for Businesses Instrument 2001 [PRIN]
Money Laundering Sourcebook Instrument 2001 [ML]
Market Conduct Sourcebook Instrument 2001 [MAR]
Lloyd's Sourcebook Instrument 2001 [LLD]
The Interim Prudential Sourcebook for Insurers Instrument 2001 [IPRU(INS)]
Interim Prudential Sourcebook for Investment Businesses Instrument 2001 [IPRU(INV)]
The Interim Prudential Sourcebook for Building Societies Instrument 2001 [IPRU(BSOC)]
Interim Prudential Sourcebook for Banks Instrument 2001 [IPRU(BANK)]
General Provisions and Glossary Instrument 2001 [GEN] [Glossary]
The Fit and Proper Test for Approved Persons Instrument 2001 [FIT]
Enforcement Manual Instrument 2001 [ENF]
Decision Making Manual Instrument 2001 [DEC]
Threshold Conditions Instrument 2001 [COND]
Conduct of Business Sourcebook Instrument 2001 [COB]
Collective Investment Schemes Sourcebook Instrument 2001 [CIS]
Authorisation Manual Instrument 2001 [AUTH]
Statements of Principle and Code of Practice for Approved Persons Instrument 2001 [APER]