Contents
Site updated 18 May 2012
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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
- Consumer Research
- Discussion Papers
- Enforcement Notices and Application refusals
- EU Documents
- Factsheets and other Consumer Publications
- General Insurance Newsletters
- Guidance
- Handbook Development Newsletters / Policy development updates
- 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
- Retail Distribution Review RDR
- Special Guides
- Speeches
- Waivers
- Statements
- International Jurisdictions
- Pensions Regulator
- Bank of England
- HM Treasury
- 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
- 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
- Mortgages
- Insurance Company, Friendly Society, Pensions and Irish Regulations
- FSA Handbook of Rules and Guidance
- Contents
- Glossary
- Guidance
- Rule-making instruments
- Handbook Notices
- Handbook Development Newsletters/Policy development updates
- 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
- BIPRU 13.3 Calculation of exposure values
- 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
- 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
- ESMA European Securities and Markets Authority
- EBA European Banking Authority
- EIOPA European Insurance and Occupational Pensions Authority
- 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, Pensions and Other items
- Data Tables
- 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
- Pensions
- Charity Commissioners
- Association of Investment Trust Companies
- 3d Anti Money Laundering
- Anti Money Laundering
- Manual Watch List Checking
- Money Laundering Regulations
- ML Regulations - Versions held within 3d
- Proceeds of Crime Act 2002
- 2nd Money Laundering Directive (2001/97/EEC)
- 3rd Money Laundering Directive (2005/60/EEC)
- European ML Directives - Versions held within 3d
- FATF Financial Action Task Force
- SOCA The Serious Organised Crime Agency
- Terrorism Act 2000
- Terrorism Act 2006
- Anti-terrorism, Crime and Security Act 2001
- Counter-Terrorism Act 2008
- JMLSG Joint Money Laundering Steering Group
- Money Laundering Guidance Notes
- ML Guidance - Versions held within 3d
- 3d Irish
- Abbreviations
- Additional 3d products
- Training
- Latest News
© 3d Investments Ltd 2012
The Association of Chartered Certified Accountants
ACCA UK Financial Services and Corporate Sector Network Programme
ACCA (the Association of Chartered Certified Accountants) is the largest and fastest-growing global professional accountancy body with 404,000 students and 140,000 members through a network of 83 offices and active centres. It aims to offer the first choice qualifications to people of application, ability and ambition around the world who seek a rewarding career in accountancy, finance and management.
ACCA's reputation is grounded in over 100 years of providing world-class accounting and finance qualifications. It champions opportunity, innovation, diversity, integrity and accountability. By promoting global standards, and supporting members wherever they work, ACCA aims to meet the current and future needs of international business.
Visit www.accaglobal.com
ACCA Professional Courses 2009
3d's Robert Easterbrook is a past Chairman of ACCA's Financial Services Network Panel and welcomes all interested parties to these meetings - unless stated otherwise, all meetings are FREE and open to Non-Members as well as ACCA Members and their Guests.
Should you wish to attend any of these events please visit www.accaonlinebooking.com/
Programme of events:
Full details for event booking for ACCA UK's Financial Services (and Corporate Sector Networks)
can be found at www.accaonlinebooking.com/acca/network.jsp?network=819
|
Date |
Subject |
Speaker(s) |
| 9 May 2012 |
Basel 2.5 / 3 [NB: ACCA event, free] |
Gerry Wright |
Past events:
|
Date |
Subject |
Speaker(s) |
| 19 April 2012 |
The Crisis in the Eurozone: its effect on the UK [NB: ACCA event, £25] |
Simon Hayes, Jack Kelly, Charles Proctor, Tom Rogers, Miles Saltiel |
| 21 March 2012 |
Resolution Planning (living wills) [NB: ACCA event, free] |
James Polson |
| 23 February 2012 |
ACCA UK Financial Services Network Meeting: The changes at FSA and whether they will work [NB: ACCA event, free] |
Simon Morris |
|
The competitiveness of the City of London and the coming EU regulation: a threat or an opportunity? [NB: ACCA event, free] |
Andrew Leck, Graham Bishop, Sean Tully, Mark Yeandle, Michael Mainelli, Andrew Hilton, Paul Moxey |
|
|
Leadership in challenging times |
Baroness Eliza Manningham Bullen |
|
|
Bribery and Corruption Act |
Andrew Picken |
|
|
Untangling Tax - An evening with the Office of Tax Simplification and Others |
Michael Jack Kitty Ussher Chas Roy-Chowdhury Simon Cox |
|
|
Long Governance: Is Reform Still Needed? [NB: A Long Finance, Z/Yen, ACCA and Quakers & Business event, free] |
Sterl Greenhalgh |
|
|
UK Bribery and Corruption Legislation Update |
John Benstead |
|
|
Basel III - an update and discussion |
Simon Hills and Dallas McGillivray |
|
|
EU regulation update |
Graham Bishop |
|
|
IFRS4 Update |
Francesco Nagari | |
|
Can Online Security Breaches Really Put You Out Of Business? |
Tony Evans and Dr Norman Fraser |
|
|
Islamic Finance Update |
Samer Hijazi | |
|
How to become a successful Non Executive Director |
Andrea Sutcliffe |
|
|
The role of the mutuals in the current crisis |
Adrian Coles | |
|
What it means to be a Financial Director |
Richard Simpson | |
|
Money Laundering and Identity Theft |
Peter Brown and Doug Reeman | |
|
Being a Successful Online Retailer in Tough Times |
Jon Kamaluddin | |
|
Solvency II Discussion |
Stephen Kelly and Tim Edwards |
|
|
Cash Flow - Getting the Balance Right |
Kevin Belton | |
|
The Global Financial Crisis - Lessons for Corporate Governance [NB: ACCA event, free] |
Prof. Andrew Chambers FCCA |
|
|
Credit Crunch Update [NB: ACCA event, free] |
Panel disscussion |
|
|
Sovereign Wealth Funds [NB: ACCA event, free] |
James White, KPMG |
|
|
Islamic Finance [NB: ACCA event, free] |
Aziz Tayyebi |
|
|
Financial Crime [NB: ACCA event, free] |
Steve Giles |
|
|
10 September 2008 |
The influence of the Mayor and Lord Mayor on London's economy [NB: ACCA event, free] |
Tim Parker |
|
1 October 2008 |
Inflation - the next meltdown? [NB: ACCA event, free] |
James Buchan, Brandon Davies, Simon Wainwright, Martin Wolf |
|
20 November 2008 |
The Single European Payments Area (SEPA) [NB: ACCA event, free] |
David Doyle |
|
11 December 2008 |
EU Update and Debate – "The implications of new regulation on the credit crisis" [NB: ACCA event, free] |
David Doyle and other speakers to be confirmed |
|
30 June 2008 |
Olympic Project - Risk Management [NB: ACCA event, free] |
Das Mootanah |
|
30 June 2008 |
The Use of Exchange Traded Derivatives in Fixed Income Fund Management [NB: SII event, chargeable] |
Byron Baldwin |
|
24 June 2008 |
Annual EU Financial Services Legislation Update [NB: ACCA event, free] |
David Doyle |
|
19 June 2008 |
The Use of Exchange Traded Derivatives in Equity Fund Management [NB: SII event, chargeable] |
Byron Baldwin |
|
17 June 2008 |
MiFID: The most effective adoption of Best Execution for Buyside firms - and where this leads [NB: SII event, chargeable] |
Stephen Parker |
|
11 June 2008 |
MiFID: The most effective adoption of Best Execution for Buyside firms - and where this leads |
Stephen Parker |
|
3 June 2008 |
The repo market in Europe - the way forward |
Godfried De Vidts |
|
6 May 2008 |
Natalie Schoon |
|
|
19 March 2008 |
BVCA and the Walker report into transparency in Private Equity |
Simon Walker |
|
7 February 2008 |
Peter Brown, David Swanney, James London, David Blackmore, Doug Reeman, Glenn Collins |
|
|
6 December 2007 |
Ian Cornwall |
|
|
19 November 2007 |
Pierre Théron |
|
|
19 October 2007 |
Mazhar Manzoor |
|
|
18 October 2007 |
Jaideep Sen |
|
|
12 September 2007 |
Dallas McGillivray |