Latest News, Updates and Changes
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client money
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: 1st November 2024
client money
(1) [deleted] (2) (in CASS 5 ) subject to the client money rules , money of any currency which, in the course of carrying on insurance distribution activity 223 , a firm holds on behalf of a client or…
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PRIN 3.2 What?
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: 30th November 2024
PRIN 3.2 What?
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securitisation
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: 1st November 2024
securitisation
45 120 (1) (subject to (2) and (4 223 )) a process by which assets are sold to a bankruptcy-remote special purpose vehicle in return for immediate cash payment and that vehicle raises the immediate ca…
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COMP 5.5 Protected investment business
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: 5th November 2024
COMP 5.5 Protected investment business
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DISP 1 Annex 1 Complaints return form
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: 30th November 2024
DISP 1 Annex 1 Complaints return form
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SYSC 3.2 Areas covered by systems and controls
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: 30th November 2024
SYSC 3.2 Areas covered by systems and controls
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SUP 8.3 Applying for a waiver
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st January 2025
SUP 8.3 Applying for a waiver
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SYSC 4.1 General requirements
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: 30th November 2024
SYSC 4.1 General requirements
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DISP 1.1 Purpose and application
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: 5th November 2024
DISP 1.1 Purpose and application
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GEN Sch 4 Powers exercised
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: 1st November 2024
GEN Sch 4 Powers exercised
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SUP 5.1 Application and purpose
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st January 2025
SUP 5.1 Application and purpose
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relevant business
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st April 2025
relevant business
131 131 (1) (in DISP and FEES ) that part of a firm's business 248 235 which is subject to the jurisdiction of the Financial Ombudsman Service as provided for in DISP 2.3 (To which activities does the…
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SUP 11.3 Requirements on controllers or proposed controllers under the Act
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: 1st November 2024
SUP 11.3 Requirements on controllers or proposed controllers under the Act
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network
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: 1st November 2024
network
102 (1) (other than in SECN ) a firm : (a) which has five or more appointed representatives (not counting introducer appointed representatives ) 16 ; or (b) whose appointed representatives , not count…
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derivative
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st December 2025
derivative
(1) (other than in REC , MAR 5 and MAR 5A ) a contract for differences , a future or an option (see also securitised derivative ). 112 (2) (in REC , MAR 5 , MAR 5A and MAR 11 159 ) those financial ins…
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client money rules
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: 1st November 2024
client money rules
(1) [deleted] (2) (in CASS 5 ) CASS 5.1 to CASS 5.5 . (3) (in SECN 281 , CASS 3 , CASS 6 , CASS 7 , CASS 7A , 158 COBS and FEES 160 ) CASS 7.10 to CASS 7.19 166 .
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occupational pension scheme
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: 1st November 2024
occupational pension scheme
24 116 (1) (other than in SECN ) a scheme specified in Article 3(1) of the Regulated Activities Order (Interpretation)) which is, in summary, a pension scheme established for the purpose of providing…
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market maker
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st December 2025
market maker
45 (1) (except in COBS and DTR 81 79 ) 68 (in relation to an investment ) a person who (otherwise than in his capacity as the operator of a regulated collective investment scheme ) holds himself out a…
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firm
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st January 2025
firm
(1) 99 an authorised person , but not a professional firm unless it is an authorised professional firm (see also GEN 2.2.18 R for the position of an authorised partnership or unincorporated associatio…
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authorised fund
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: 5th November 2024
authorised fund
an ICVC , ACS or an AUT . 183…