Latest News, Updates and Changes
FEES 6.1 Application
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st April 2024
FEES 6.1 Application
…
DISP 4.2 Standard terms
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st April 2024
DISP 4.2 Standard terms
…
DISP 4.2 Standard terms
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st April 2025
DISP 4.2 Standard terms
…
FEES 2.1 Introduction
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st April 2024
FEES 2.1 Introduction
…
FEES 2.1 Introduction
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st April 2025
FEES 2.1 Introduction
…
FEES 4 Annex 11 Periodic fees in respect of payment services, electronic money issuance, regulated covered bonds, CBTL business, data reporting services, third party verifiers and proxy advisers in relation to the period 1 April 2023 to 31 March 2024
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st April 2024
FEES 4 Annex 11 Periodic fees in respect of payment services, electronic money issuance, regulated covered bonds, CBTL business, data reporting services, third party verifiers and proxy advisers in relation to the period 1 April 2023 to 31 March 2024
…
PERG 8.14 Other financial promotions
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: 29th March 2024
PERG 8.14 Other financial promotions
…
working day
This piece of Handbook content was changed by an instrument this month.
Effective Date: 5th April 2024
working day
(1) (in PRR 36 44 and MAR 9 43 ) 16 (as defined in section 103 of the Act ) any day other than a Saturday, a Sunday, Christmas Day, Good Friday or a day which is a bank holiday under the Banking and F…
SUP 12 Annex 3 Appointed representative appointment form
This piece of Handbook content was changed by an instrument this month.
Effective Date: 11th April 2024
SUP 12 Annex 3 Appointed representative appointment form
…
annual eligible income
This piece of Handbook content was changed by an instrument this month.
Effective Date: 1st April 2024
annual eligible income
15 (in FEES 50 ) (in relation to a firm , class and category 145 ) the annual income (as described in 27 FEES 6 Annex 3AR 142 ) for the firm's last financial year 27 ended in the year to 31 December 5…
GEN 2.2 Interpreting the Handbook
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 March 2024
GEN 2.2 Interpreting the Handbook
…
MCOB 4.1 Application
This piece of Handbook content was changed by an instrument this month.
Effective Date: 2nd April 2024
MCOB 4.1 Application
…
group
This piece of Handbook content was changed by an instrument this month.
Effective Date: 2nd April 2024
group
48 (1) (except as specified in this definition 80 ) as defined in section 421 of the Act (Group) (in relation to a person (“A”)) A and any person who is: (a) a parent undertaking of A; (b) a subsidiar…
GEN Sch 4 Powers exercised
This piece of Handbook content was changed by an instrument this month.
Effective Date: 30th September 2024
GEN Sch 4 Powers exercised
…
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 238 225 which is subject to the jurisdiction of the Financial Ombudsman Service as provided for in DISP 2.3 (To which activities does the…
transaction report
This piece of Handbook content was changed by an instrument this month.
Effective Date: 5th April 2024
transaction report
79 79 a report of a transaction: 79 (a) for the purposes of SUP TP 9 or MAR 9 116 ; or 79 (b) which meets the requirements imposed by and under article 26 of MiFIR .
control
This piece of Handbook content was changed by an instrument this month.
Effective Date: 5th April 2024
control
47 (1) (except 67 67 118 in (2), (2A) and (2B) 256 ) (in relation to the acquisition, increase or reduction of control of a firm ) the relationship between a person and the firm or other undertaking o…
complaints investigator
This piece of Handbook content was changed by an instrument this month.
Effective Date: 5th April 2024
complaints investigator
(1) (in relation to a UK RIE ) the independent person appointed under arrangements referred to in paragraph 9(3) of the Schedule to the Recognition Requirements Regulations to investigate a complaint…
SUP 16.29 MIFIDPRU Remuneration Report
This piece of Handbook content was changed by an instrument this month.
Effective Date: 2nd April 2024
SUP 16.29 MIFIDPRU Remuneration Report
…
SYSC 19G.5 Application of remuneration requirements to material risk takers
This piece of Handbook content was changed by an instrument this month.
Effective Date: 2nd April 2024
SYSC 19G.5 Application of remuneration requirements to material risk takers
…