Contents

Site updated 3 Feb 2012

- Latest additions
- Events
- Deadlines
- About us
- Contact us
- FAQs
- Watch List Checking
Regulation (FSA, ML, HMT etc)
- Financial Services Authority
- International Jurisdictions
- Anti Money Laundering
- Bank of England
- HM Treasury
- Mortgages
- Insurance Company, Friendly Society, Pensions and Irish Regulations
- Former Regulators
FSA Handbook of Rules and Guidance
- Contents
- Glossary
  - A
  - B
  - C
  - D
  - E
  - F
  - G
  - H
  - I
  - J
  - K
  - L
  - M
  - N
  - O
  - P
  - Q
  - R
  - S
  - T
  - U
  - V
  - W
  - X
  - Y
  - Z
- Rule-making instruments
  - 2011
  - 2010
  - 2009
  - 2008
  - 2007
  - 2006
  - 2005
  - 2004
  - 2003
  - 2002
  - 2001
- 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)
  - EMPS Energy Market Participants
  - OMPS Oil Market Participants
  - SERV Service companies
- Regulatory Guides
  - BSOG The Building Societies Regulatory Guide
  - COLLG The Collective Investment Scheme Information Guide
  - EG The Enforcement Guide
  - PERG Perimeter Guidance Manual
  - RPPD Responsibilities for Fair Treatment of Customers
  - UNFCOG Unfair Contract Terms
- 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
- UCITS Section V Obligations re investment policies
- UPRU Prudential sourcebook for UCITS Firms
ISAs, PEPs & CTFs (incl TISA)
- TISA Tax Incentivised Savings Association
  - Contact details
- TISA Technical Bulletins
- ISA (and PEP) Bulletins
- ISA Regulations
- ISA Guidance Notes
- ISA GN 4 Applications and Terms and Conditions
- ISA Regulations Glossary
- CTFs Child Trust Funds
- CTF Bulletins
- PEP Regulations
- PEP Regulations Glossary
Legislation (Acts & SIs)
- FiSMA Financial Services and Markets Act 2000
- FiSMA 2000 Schedule 2 Regulated Activities
- Statutes (Acts)
- Statutory Instruments (SIs)
  - Statutory Instruments
  - 2011
  - 2010
  - 2009
  - 2008
  - 2007
  - 2006
  - 2005
  - 2004
  - 2003
  - 2002
  - 2001
  - 2000
  - 1999
  - 1998
  - 1997
  - 1996
  - 1995
  - 1994
  - 1993
  - 1992
  - 1991
  - 1990
  - 1989
  - 1988
  - 1946
- 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
- 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
- FSA Life Insurance Newsletters
- Insurance Company Regulations
Credit Unions
- Credit Union Newsletters
- CRED Credit Unions Specialist sourcebook
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
  - Manual: CTM48000 - Authorised investment funds
  - ISA Guidance Notes
  - SDRT regime for UTs and OEICs
  - Stamp Taxes Manual
- Income and Corporation Taxes Act 1988 (Extracts from)
- Income Tax Act 2007
- ISAs, PEPs & CTFs
  - CTF Child Trust Funds
  - ISA Regulations
  - ISA Regulations Glossary
  - ISA Guidance Notes
  - ISA (& PEP) Bulletins
  - PEP Regulations
  - PEP Regulations Glossary
  - TISA - the Tax Incentivised Savings Association
- 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
  - Capital Gains Tax
  - Child Trust Funds
  - Corporation Tax
  - Income Tax
  - ISAs Individual Savings Accounts
  - OEICs Open-ended Investment Companies
  - PEPs Personal Equity Plans
  - Pensions
  - SDRT Stamp Duty and Stamp Duty Reserve Tax
  - Unit Trusts
  - Finance Acts/Bills
  - Value Added Tax
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
- BNY Mellon Trust & Depositary
- BBH Brown Brothers Harriman Investor Services Limited
- CTCL Citicorp Trustee Company Limited
Accounting and Other items
- Accounting
- Charity Commissioners
- Pension Fund Pooling Vehicles
- Association of Investment Trust Companies
3d Anti Money Laundering
- 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
  - FATF Financial Action Task Force
  - FATF The Forty Recommendations
- 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
- Irish Financial Services Regulatory Authority
  - News Articles
- Department of Finance
  - Press Releases
- Ireland
- William Fry, Solicitors
Abbreviations
Additional 3d products
Latest News
- Reuters Market Data
- Telegraph Finance
- BBC Business RSS
- World Time
Training
- CISI - The Chartered Institute for Securities & Investment - IOC
- Training

Home

© 3d Investments Ltd 2012

Contents > FSA Handbook Notice 97...
Page last published: 9 May 2011

Advanced search

Financial Services Authority
FSA Handbook of Rules and Guidance
FSA Handbook Notices issued in 2010
Handbook Notice 97
25 February 2010

Board Meeting:
Notice published:

25 February 2010
1 March 2010

2 Handbook changes made by the Board on 25 February 2010

3 Changes outside the Handbook

4 Feedback on responses to consultation

Annex A List of instruments made or approved by the Board on 25 February 2010

Annex B Table of

Thank you for visiting 3d Investment Regulation

3d Investment Regulation is a subscription based service.
NB: The full text of material from the trade associations IMA and TISA
is available only to members of those trade bodies.

No adverts show on pages when you subscribe.

3d Investment Regulation contains information not available in one place elsewhere,
including the FSA Handbook, European Directives, UK legislation, HMRC documentation,
and much more.

If you are registered with us, please login:
Email
Password
Remember me

(Need a password reminder?)

Subscriptions to 3d Investment Regulation
are available as follows:

Annual 1-user	£900	£1,080.00 with 20% vat
1-month 1-user	£120	£144.00 with 20% vat
7 days 1-user	£50	£60.00 with 20% vat
24 hours 1-user	£15	£18.00 with 20% vat
Annual Company	£6,000	£7,200.00 with 20% vat

After registering, instant access is available following secure online payment by debit or credit card

View more information about our licences; or email us to enquire about purchasing a licence.

Otherwise, find out more about 3d Investment Regulation or register with us.