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Tailored Handbooks FNDMGR ASTMGR
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Prefatory Material
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Glossary
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Block 1:
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High Level Standards
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PRIN
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Principles for Businesses
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SYSC
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Senior Management Arrangements, Systems and Controls
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COND
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Threshold Conditions
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APER
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Statements of Principle and Code of Practice for Approved Persons
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FIT
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The Fit and Proper Test for Approved Persons
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FINMAR
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Financial Stability and Market Confidence sourcebook (in force from 6 August 2010)
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TC
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Training and Competence sourcebook
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GEN
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General Provisions
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FEES
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Fees Manual
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Block 2a:
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Prudential standards
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PRU
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Integrated Prudential sourcebook (not in force after 31 December 2006)
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GENPRU
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General Prudential sourcebook
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BIPRU
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Prudential sourcebook for Banks, Building Societies and Investment Firms
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INSPRU
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Prudential sourcebook for Insurers
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SOLPRU
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Prudential sourcebook for Solvency II Insurers (proposed to be in force in 2012 - see CP 11/22)
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MIPRU
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Prudential sourcebook for Mortgage and Home Finance Firms, and Insurance Intermediaries
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UPRU
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Prudential sourcebook for UCITS Firm
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IPRU-BANK
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Interim Prudential sourcebook for Banks (not in force after 31 October 2010)
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IPRU-BSOC
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Interim Prudential sourcebook for Building Societies (not in force after 30 September 2010)
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IPRU-FSOC
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Interim Prudential sourcebook for Friendly Societies
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IPRU-INS
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Interim Prudential sourcebook for Insurers
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IPRU-INV
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Interim Prudential sourcebook for Investment Businesses
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Block 2b:
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Business standards
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COB
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Conduct of Business sourcebook (not in force after 31 October 2007)
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COBS
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New Conduct of Business sourcebook (in force from 1 November 2007)
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ICOB
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Insurance Conduct of Business sourcebook (not in force after 5 January 2008)
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ICOBS
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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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MCOB
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Mortgage Conduct of Business sourcebook
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BCOBS
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Banking: Conduct of Business sourcebook (in force from 1 November 2009)
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CASS
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Client Assets sourcebook
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MAR
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Market Conduct sourcebook
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ML
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Money Laundering sourcebook (not in force after 31 August 2006)
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Block 3:
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Regulatory Processes
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AUTH
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Authorisation (not in force after 31 December 2006)
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SUP
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Supervision
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ENF
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Enforcement (not in force after 28 August 2007)
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DEC
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Decision making (not in force after 28 August 2007)
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DEPP
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Decision Procedure and Penalties manual
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Block 4:
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Redress
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DISP
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Dispute resolution: Complaints
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COMP
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Compensation
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COAF
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Complaints against the FSA
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Block 5:
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Specialist sourcebooks
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BSOCS
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Building Societies sourcebook (in force from 1 April 2010)
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CIS
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Collective Investment Schemes (not in force after 13 February 2007)
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COLL
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New Collective Investment Schemes
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CRED
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Credit Unions (not in force after 8 January 2012)
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CREDS
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new Credit Unions sourcebook (in force from 8 January 2012)
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ECO
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E-Commerce Directive (not in force after 31 October 2007)
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ELM
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Electronic Money
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PROF
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Professional Firms
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LLD
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Lloyd's (not in force after 31 December 2006)
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RCB
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Regulated Covered Bonds
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REC
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Recognised Investment Exchanges and Recognised Clearing Houses
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Block 6:
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Listing, Prospectus and Disclosure
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LR
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Listing Rules
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PR
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Prospectus Rules
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DTR
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Disclosure Rules and Transparency Rules
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Special guides (not forming part of the Handbook)
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EMPS
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Energy Market Participants
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FREN
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Small Friendly Societies (not in force after 12 June 2005)
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OMPS
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Oil Market Participants
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SERV
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Service companies
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SIFA
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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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MIGI
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Small Mortgage and Insurance Intermediaries: Part I - General Rules (not in force after 30 August 2006)
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MOGI
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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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GIGI
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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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BSOG
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The Building Societies Regulatory Guide
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COLLG
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The Collective Investment Scheme Information Guide
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CRAG
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The Credit Rating Agencies Guide (in force from 7 June 2010 - removed in December 2011)
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CURG
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Regulatory Guide for Credit unions (in force Q1 2010 - see Handbook Development Newsletter No 118)
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EG
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The Enforcement Guide
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FC
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Financial Crime Guide
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PERG
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Perimeter Guidance Manual
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RPPD
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The Responsibilities of Providers and Distributors for the Fair Treatment of Customers
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UNFCOG
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Unfair Contract Terms Regulatory Guide
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UKLA
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UKLA
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United Kingdom Listing Authority
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INTERIM PERMITTED PERSONS
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Interim Permitted Persons
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PENSIONS REVIEWS
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Designation of Pensions Review Provisions Instrument 2001
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UNAUTHORISED MUTUAL SOCIETIES
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Unauthorised mutuals registration fees rules
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