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- BBA British Bankers' Association
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- 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
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- 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
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- IPRU-INS Interim Prudential sourcebook for Insurance
- Insurance Company, Friendly Society, Pensions and Irish Regulations
- Unit Trusts & OEICs (incl IMA)
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- Legislation (Acts & SIs)
- FiSMA Financial Services and Markets Act 2000
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- 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- Banking Act 1987 [Extracts from] [Repealed]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
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- Trustee Act 2000
- Proceeds of Crime Act 2002
- Data Protection Act 1998
- Europe
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- 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
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- Abbreviations
- Additional 3d products
© 3d Investments Ltd 2008
FSA Handbook
Block 4
Redress
COAF
Complaints against the FSA
Made 19 July 2001 Commencement: 3 September 2001 Handbook Contents
R Rules (other than evidential provisions) (made under section 157 of the Act)
E Rules having effect as evidential provisions (as described in section 149 of the Act)
G Guidance (made under section 157 of the Act)
D Directions (made under sections 51(3) and 60(2) of the Act)
P Statements of Principle for Approved Persons
Rule Making Instruments, including Amending Instruments
1 G There are no transitional provisions in COAF. However, COAF 2 (Transitional Complaints Scheme) is itself a separate Transitional Complaints Scheme covering complaints against the FSA or PIA, IMRO or SFA in respect of matters arising before the date that section 19 (the general prohibition) of the Act comes into force.
Text of COAF:
Chapter 1: Complaints against the FSA scheme
1.3 The Complaints Commissioner
1.4 Coverage and scope of the scheme
Chapter 2: Transitional Complaints Scheme
2.3 Coverage and scope of the scheme
Schedule 1: Record keeping requirements
1 G There are no record keeping requirements in COAF.
Schedule 2: Notification requirements
1 G There are no notification requirements in COAF.
Schedule 3: Fees and other required payments
1 G There are no requirements for fees or other payments in COAF.
1 G The following powers and related provisions in the Act, the Financial Services and Markets Act 2000 (Commencement No.4 and Transitional Provisions) Order 2001 (SI 2001/2364) (the "Commencement No.4 Order") and the Financial Services and Markets Act 2000 (Transitional Provisions) (Ombudsman Scheme and Complaints Scheme) Order 2001 (SI2001/2326) (the "Transitional Provisions Order") have been exercised by the FSA to make the Complaints against the FSA Scheme:
(1) Paragraphs 7 and 8 (Arrangements for the investigations of complaints) of Schedule 1 to the Act;
(2) Article 2(2) of the Commencement No.4 Order; and
(3) Article 18 (Transitional complaints against the Authority) of the Transitional Provisions Order.
Schedule 5: Rights of Action for damages
1 G There are no rules in COAF.
Schedule 6: Rules that can be waived
1 G There are no rules in COAF.
1 G There is no table of derivations for COAF
1 G There is no table of destinations for COAF