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- 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
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- 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
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- European Directives
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- Banking Consolidation (Credit Institutions)
- CRD Capital Requirements
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- Eligible Assets
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- FATF Financial Action Task Force
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- 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
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- Accounting and Other items
- Accounting
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- 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
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© 3d Investments Ltd 2010
Financial Services Authority
Handbook of Rules and Guidance
The FSA Handbook
© Financial Services Authority. All rights reserved
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Prefatory Material |
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High Level Standards |
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Statements of Principle and Code of Practice for Approved Persons |
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Prudential standards |
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Integrated Prudential sourcebook (not in force after 31 December 2006) |
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Prudential sourcebook for Banks, Building Societies and Investment Firms |
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Prudential sourcebook for Mortgage and Home Finance Firms, and Insurance Intermediaries |
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Business standards |
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Conduct of Business sourcebook (not in force after 31 October 2007) |
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New Conduct of Business sourcebook (in force from 1 November 2007) |
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Insurance Conduct of Business sourcebook (not in force after 5 January 2008) |
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Insurance: Conduct of Business sourcebook (in force from 6 January 2008 - title changed by FSA 2009/22 with effect from 6 May 2009) |
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Banking: Conduct of Business sourcebook (in force from 1 November 2009) |
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Money Laundering sourcebook (not in force after 31 August 2006) |
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Regulatory Processes |
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Authorisation (not in force after 31 December 2006) |
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Enforcement (not in force after 28 August 2007) |
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Decision making (not in force after 28 August 2007) |
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Redress |
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Specialist sourcebooks |
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BSOCS |
Building Societies sourcebook (in force Q3 2010 - see Handbook Development Newsletter No 118) |
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Collective Investment Schemes (not in force after 13 February 2007) |
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CREDS |
new Credit Unions sourcebook (in force Q2 2010 - see Handbook Development Newsletter No 118) |
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E-Commerce Directive (not in force after 31 October 2007) |
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Lloyd's (not in force after 31 December 2006) |
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Recognised Investment Exchanges and Recognised Clearing Houses |
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Listing, Prospectus and Disclosure |
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Special guides (not forming part of the Handbook) |
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Small Friendly Societies (not in force after 12 June 2005) |
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Using the FSA Handbook: an Overview for small IFA firms (not in force after 30 August 2006) |
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Small Mortgage and Insurance Intermediaries: Part I - General Rules (not in force after 30 August 2006) |
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Small Mortgage and Insurance Intermediaries: Part II - Mortgage Intermediaries (additional rules) (not in force after 30 August 2006) |
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Small Mortgage and Insurance Intermediaries: Part III - Insurance Intermediaries (additional rules) (not in force after 30 August 2006) |
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Regulatory Guides |
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CRAG |
Agencies - a regulatory guide (in force Q2 2010 - see Handbook Development Newsletter No 118) |
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CURG |
Regulatory Guide for Credit unions (in force Q1 2010 - see Handbook Development Newsletter No 118) |
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The Responsibilities of Providers and Distributors for the Fair Treatment of Customers |
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UKLA |
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INTERIM PERMITTED PERSONS |
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PENSIONS REVIEWS |
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UNAUTHORISED MUTUAL SOCIETIES |
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Schedules:
Summary schedules:
1. Record-keeping requirements
2. Notification requirements
3. Fees and other required payments
4. Powers exercised in making the Handbook
5. Rights of action for damages
6. Rules that can be waived
7. Releases
Derivations
Destinations
KEY:
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R Rules (other than evidential provisions) |
(made under section 157 of the Act) |
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E Rules having effect as evidential provisions |
(as described in section 149 of the Act) |
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G Guidance |
(made under section 157 of the Act) |
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D Directions |
(made under sections 51(3) and 60(2) of the Act) |
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C Conclusive description of behaviour which does not amount to market abuse (section 119 of the Act) |
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P Statements of Principle for Approved Persons |
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