Contents
Site updated 28 Aug 2008
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- 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
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- 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
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- UKLA UK Listing Authority
- UKLA Publication: LIST! Newsletters
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- Taxation
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- Business Briefs
- Consultation Documents, Discussion Papers, Policy Statements
- Extra-Statutory Concessions
- Finance Acts
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- Accounting
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- 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 2003
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'.
Instruments made by Financial Ombudsman Service Limited (FOS)
18 December 2003
2003/99 Supervision Manual (Bureau de Change) Instrument 2003 (SUP)
2003/98 Application Fees (Mortgage and Insurance Mediation) (Annual Income) Instrument 2003 (AUTH, SUP)
2003/97 Handbook Structure (Special Guides) Instrument 2003 (Reader's guide, AUTH, ECO, ELM, EMPS, FREN, OMPS, SERV, Glossary)
2003/96 Financial Promotions (Past Performance) Instrument 2003 (COB)
2003/95 Interim Prudential Sourcebook for Insurers (Amendment No 6) Instrument 2003 (IPRU(INS))
2003/94 Tier One Capital for Banks (Amendment) Instrument 2003 (IPRU(BANK))
2003/93 General Provisions and Glossary (Amendment No 7) Instrument 2003 (Glossary)
2003/92 General Provisions (Prohibition of Insurance Against Fines) Instrument 2003 (GEN, AUTH, ENF)
2003/91 Access to Criminal Records Instrument 2003 (FIT, SUP)
2003/90 Client Assets Sourcebook Instrument 2003 (Reader's guide, SYSC, COB, MAR, AUTH, SUP, ENF, CIS, CRED, ELM, LLD, PROF, EMPS, FREN, OMPS, SERV, Glossary)
2003/89 Senior Management Arrangements, Systems and Controls (Amendment) Instrument 2003 (SYSC)
20 November 2003
2003/88 Application Fees (Unauthorised Mutual Societies Registration) (2003/2004) (No 2) Instrument 2003 (Non-handbook instrument)
2003/87 Lloyd’s Compensation (Amendment) Instrument 2003 (COMP)
2003/86 Overseas Stabilisation (Hong Kong) Instrument 2003 (MAR)
2003/85 With-Profits Governance (Amendment) Instrument 2003 (COB)
2003/84 Interim Prudential Sourcebook for Investment Businesses (Amendment No 7) Instrument 2003 (IPRU(INV))
2003/83 Interim Prudential Sourcebook for Insurers (Amendment No 5) Instrument 2003 (IPRU(INS))
2003/82 Interim Prudential Sourcebook for Insurers (Groups Directive)(No 2) Instrument 2003 (IPRU(INS))
2003/81 Interim Prudential Sourcebook for Friendly Societies (Groups Directive)(No 2) Instrument 2003 (IPRU(FSOC))
2003/80 Interim Prudential Sourcebook for Building Societies (Amendment No 7) Instrument 2003 (IPRU(BSOC))
2003/79 Tier One Capital for Banks Instrument 2003 (IPRU(BANK))
2003/78 Submission of Policy Statements (Banks) Instrument 2003 (IPRU(BANK))
15 October 2003
2003/77 Listing Rules (Investment Entities) (Amendment) Instrument 2003 (UKLA)
2003/76 Listing Rules (Treasury Shares) Instrument 2003 (UKLA)
2003/75 Lloyd’s Compensation Instrument 2003 (COMP, LLD, Glossary)
2003/74 Compensation Sourcebook (Amendment No 2) Instrument 2003 (COMP, Glossary)
2003/73 Bureau de Change Instrument 2003 (SUP)
2003/72 Mortgages: Conduct of Business Sourcebook (Consequential Amendments to the Handbook) Instrument 2003 (GEN, COB, TC, ML, AUTH, DISP, COMP, ECO, ELM, PROF, EMPS, FREN, OMPS, SERV, Reader's guide, Reader's Short Guide, Glossary)
2003/71 Mortgages: Conduct of Business Sourcebook Instrument 2003 (MCOB)
2003/70 Conflicts of Interest (Corporate Finance and Investment Analysts) Instrument 2003 (COB, Glossary)
2003/69 Interim Prudential Sourcebook for Investment Businesses (Amendment No 6) Instrument 2003 (IPRU(INV), SUP)
13 October 2003
2003/68 Waiver Application Form (Amendment) Direction Instrument 2003 (SUP)
18 September 2003
2003/67 Listing Rules (Model Code) Instrument 2003 (UKLA)
2003/66 Lloyd's Sourcebook (Solvency I Directive) Instrument 2003 (LLD)
2003/65 Mortgage Firms and Insurance Intermediaries (Application Fees) Instrument 2003 (AUTH, SUP, Glossary)
2003/64 Training and Competence Sourcebook (Amendment No 6) Instrument 2003 (TC)
2003/63 Market Conduct Sourcebook (Amendment No 6) Instrument 2003 (MAR)
2003/62 Conduct of Business Sourcebook (Amendment No 14) Instrument 2003 (COB)
2003/61 Investment Entities (Listing Rules and Conduct of Business) Instrument 2003 (COB, Glossary, UKLA)
2003/60 Interim Prudential Sourcebook for Insurers (Amendment No 4) Instrument 2003 (IPRU(INS))
2003/59 Interim Prudential Sourcebook for Insurers (Solvency I Directive) Instrument 2003 (IPRU(INS), SUP, Glossary)
2003/58 Interim Prudential Sourcebook for Friendly Societies (Solvency I Directive) Instrument 2003 (IPRU(FSOC)
17 July 2003
2003/57 Special Guide for Small Friendly Societies (Amendment) Instrument 2003 (FREN)
2003/56 Collective Investment Schemes Sourcebook (Amendment No 3) Instrument 2003 (CIS, Glossary)
2003/55 Complaints Sourcebook (Amendment) Instrument 2003 (DISP, Glossary)
2003/54 Decision Making Manual (Amendment No 3) Instrument 2003 (DEC)
2003/53 Enforcement Manual (Amendment No 2) Instrument 2003 (ENF)
2003/52 Supervision Manual (Amendment No 12) Instrument 2003 (SUP)
2003/51 Conduct of Business Sourcebook (Amendment No 13) Instrument 2003 (COB, Glossary)
2003/50 Interim Prudential Sourcebook for Investment Businesses (Amendment No 5) Instrument 2003 (IPRU(INV))
2003/49 Interim Prudential Sourcebook for Building Societies (Amendment No 6) Instrument 2003 (IPRU(BSOC))
2003/48 Interim Prudential Sourcebook for Banks (Amendment No 5) Instrument 2003 (IPRU(BANK))
2003/47 Collective Investment Schemes (UCITS Amending Directive) Instrument 2003 (PRIN, SYSC, IPRU(INV), COB, AUTH, SUP, DEC, COMP, CIS)
19 June 2003
2003/46 Compensation Sourcebook (Dissolved Companies) Instrument 2003 (COMP)
2003/45 Alternative Trading Systems Instrument 2003 (Reader's Guide, COB, MAR, AUTH, CRED, ELM, EMPS, FREN, OMPS, SERV, Glossary)
2003/44 With-Profits Governance Instrument 2003 (COB, SUP, Glossary)
2003/43 Conduct of Business Sourcebook (Amendment No 12) Instrument 2003 (COB)
2003/42 Interim Prudential Sourcebook for Investment Businesses (Amendment No 4) Instrument 2003 (IPRU(INV))
15 May 2003
2003/41 Periodic Fees (Unauthorised Mutual Societies Registration) (2003/2004) Instrument 2003 (Non-handbook instrument)
2003/40 UKLA Fees (2003/2004) and Related Listing Rules (Amendment) Instrument 2003 (UKLA)
2003/39 Complaints Sourcebook (PIA Ombudsman Awards) Instrument 2003 (DISP)
2003/38 Supervision Manual (Passporting Guidance) Instrument 2003 (SUP, Glossary)
2003/37 Periodic Fees (2003/2004) (No 2) Instrument 2003 (SUP, PROF, CIS, REC, COMP, DISP, AUTH)
2003/36 Electronic Reporting of Large Exposures Instrument 2003 (SUP, IPRU(BANK))
2003/35 Authorisation Manual (Amendment No 6) Instrument 2003 (AUTH)
17 April 2003
20 March 2003
2003/33 Application Fees (Unauthorised Mutual Societies Registration) (2003/2004) Instrument 2003 (Non-handbook instrument)
2003/32 Lloyd's Sourcebook (Amendment No 2) Instrument 2003 (LLD)
2003/31 Credit Unions Sourcebook (Amendment No 4 and Consequential Amendments to the Handbook) Instrument 2003 (CRED, ENF, SUP)
2003/30 Compensation Sourcebook (Management Expenses Levy Limit 2003/2004) Instrument 2003 (COMP)
2003/29 Complaints Sourcebook (Financial Ombudsman Service General Levy 2003/2004) Instrument 2003 (DISP)
2003/28 Enforcement Manual (Unfair Contract Terms) Instrument 2003 (CRED, DEC, ENF, Glossary, SUP)
2003/27 Periodic Fees (2003/2004) Instrument 2003 (SUP)
2003/26 Periodic Fees (2002/2003) (No 3) Instrument 2003 (SUP)
2003/25 Application Fees (2003/2004) Instrument 2003 (AUTH, CIS, PROF, REC)
2003/24 Market Conduct Sourcebook (Price Limits under the Price Stabilising Rules) Instrument 2003 (MAR)
2003/23 Conduct of Business Sourcebook (Amendment No 11) Instrument 2003 (COB, Glossary)
2003/22 Stakeholder Pension Decision Trees (Amendment) Instrument 2003 (COB)
2003/21 Interim Prudential Sourcebook for Insurers (Minor Changes No 3) Instrument 2003 (IPRU(INS))
2003/20 Interim Prudential Sourcebook for Friendly Societies (Minor Changes No 2) Instrument 2003 (IPRU(FSOC))
2003/19 Interim Prudential Sourcebook for Building Societies (Amendment No 5) Instrument 2003 (IPRU(BSOC))
2003/18 Interim Prudential Sourcebook for Banks (Amendment No 4) Instrument 2003 (IPRU(BANK))
2003/17 Interim Prudential Sourcebook for Banks (Amendment No 3) Instrument 2003 (IPRU(BANK))
2003/16 General Provisions and Glossary (Amendment No 6) Instrument 2003 (GEN, Glossary)
20 February 2003
2003/14 Compensation Sourcebook (Funding Rules) Instrument 2003 (COMP)
2003/13 Enforcement Manual (Amendment) Instrument 2003 (ENF)
2003/12 Market Conduct Sourcebook (Amendment No 5) Instrument 2003 (Glossary, MAR)
16 January 2003
2003/11 Compensation Sourcebook (Credit Unions) Instrument 2003 (COMP)
2003/10 Complaints Sourcebook (Mortgage Endowment Complaints) Instrument 2003 (DISP)
2003/8 Supervision Manual (Amendment No 11 and Consequential Amendments to the Handbook) Instrument 2003 (CRED, SUP)
2003/7 Application Fees (2002/2003) (No 3) Instrument 2003
2003/6 Market Conduct Sourcebook (Amendment to List of Prescribed Markets No 2) Instrument 2003 (MAR)
2003/5 Conduct of Business Sourcebook (Amendment No 10) Instrument 2003 (COB, Glossary)
2003/4 Interim Prudential Sourcebook for Investment Businesses (Amendment No 3) Instrument 2003 (IPRU(INV))
2003/3 Interim Prudential Sourcebook for Building Societies (Amendment No 4) Instrument 2003 (IPRU(BSOC))
2003/2 Interim Prudential Sourcebook for Banks (Amendment No 2) Instrument 2003 (IPRU(BANK))
2003/1 Statutory Status Disclosure Instrument 2003 (AUTH, COB, CRED, ECO, GEN, Glossary, PROF)