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  • breach

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 31st July 2024

    breach

    27 in DEPP : (1) misconduct in respect of which the 46 FCA 46 is empowered to take action pursuant to section 66 (Disciplinary powers) of the Act ; or (1A) conduct in respect of which the FCA is empow…

  • DTR 5.5 Acquisition or disposal by issuer of shares

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 29th July 2024

    DTR 5.5 Acquisition or disposal by issuer of shares

    …

  • retail client

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 1st November 2024

    retail client

    125 164 (1) (in SECN and 226 other than in relation to the provision of basic advice on stakeholder products or to credit-related regulated activities ) in accordance with COBS 3.4.1 R , a client who…

  • securitisation position

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 1st November 2024

    securitisation position

    120 (1) (in MIPRU 209 ) 132 180 an exposure to a securitisation within the meaning of paragraph (2) of the definition of securitisation; and so that: (a) where there is an exposure to different tranch…

  • securitisation special purpose entity

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 1st November 2024

    securitisation special purpose entity

    121 (1) [deleted] 209 180 132 [Note: article 4(44) of the Banking Consolidation Directive (Definitions)] 180 (2) (in MIPRU ) a corporation, trust or other entity that has the following characteristics…

  • traditional securitisation

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 1st November 2024

    traditional securitisation

    86 118 (1) a securitisation involving the transfer of the economic interest in the exposures being securitised through the transfer of ownership of those exposures from the originator to an SSPE or th…

  • tranche

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 1st November 2024

    tranche

    (1) 112 (in relation to a securitisation within the meaning of paragraph (2) of the definition of securitisation and for the purposes of MIPRU ) a contractually established segment of the credit risk…

  • originator

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 1st November 2024

    originator

    116 (-1) (other than in MIPRU ) has the meaning in regulation 3(1) of the Securitisation Regulations 2024 . 61 105 71 96 (1) (in MIPRU ) 116 in relation to a securitisation within the meaning of parag…

  • MCOB 13.5 Dealing with a customer in arrears or with a sale shortfall on a regulated mortgage contract

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 4th November 2024

    MCOB 13.5 Dealing with a customer in arrears or with a sale shortfall on a regulated mortgage contract

    …

  • MCOB 13.8 Home purchase plans

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 4th November 2024

    MCOB 13.8 Home purchase plans

    …

  • MCOB 13.2 Purpose

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 4th November 2024

    MCOB 13.2 Purpose

    …

  • MCOB Sch 1 Record keeping requirements

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 4th November 2024

    MCOB Sch 1 Record keeping requirements

    …

  • MCOB 13.3 Dealing fairly with customers: policy and procedures

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 4th November 2024

    MCOB 13.3 Dealing fairly with customers: policy and procedures

    …

  • MCOB 13.1 Application

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 4th November 2024

    MCOB 13.1 Application

    …

  • FEES 3.2 Obligation to pay fees

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 1st November 2024

    FEES 3.2 Obligation to pay fees

    …

  • FEES 3.2 Obligation to pay fees

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 29th July 2024

    FEES 3.2 Obligation to pay fees

    …

  • FEES 3.2 Obligation to pay fees

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 31st July 2024

    FEES 3.2 Obligation to pay fees

    …

  • FEES 4.2 Obligation to pay periodic fees

    This piece of Handbook content was changed by an instrument this month.

    Changes to this piece of Handbook content became effective this month.

    Effective Date: 18th September 2024

    FEES 4.2 Obligation to pay periodic fees

    …

  • FEES 4.2 Obligation to pay periodic fees

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 29th July 2024

    FEES 4.2 Obligation to pay periodic fees

    …

  • FEES 4 Annex 4 Periodic fees in relation to collective investment schemes, recognised schemes, AIFs marketed in the UK, small registered UK AIFMs and money market funds payable for the period 1 April 2024 to 31 March 2025

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 31st July 2024

    FEES 4 Annex 4 Periodic fees in relation to collective investment schemes, recognised schemes, AIFs marketed in the UK, small registered UK AIFMs and money market funds payable for the period 1 April 2024 to 31 March 2025

    …