CRED App 1.1 This is the table referred to in CRED 2.2.2G.
Sourcebook or manual |
Reference code |
|
High Level Standards |
Principles for Businesses |
|
Senior Management Arrangements, Systems and Controls |
||
Statements of Principle and Code of Practice for Approved Persons |
||
The Fit and Proper test for Approved persons |
||
13Financial Stability and Market Confidence sourcebook |
||
General provisions |
||
Business Standards |
5 Interim Prudential sourcebooks |
|
8General Prudential sourcebook |
||
8Prudential sourcebook for Banks, Building Societies and Investment Firms |
||
8Prudential sourcebook for Insurers |
||
8Prudential sourcebook for Mortgage and Home Finance Firms, and Insurance Intermediaries |
||
8Prudential sourcebook for UCITS Firms |
||
Conduct of Business |
11 | |
Client assets |
||
Market conduct, including: Code of Market Conduct Price stabilising rules Inter-professional conduct, Multilateral Trading Facilities911 29 |
||
Training and Competence |
||
Regulatory Processes |
Authorisation |
|
Supervision |
||
Decision Procedure and Penalties10 10 |
10 | |
Redress |
Dispute resolution: Complaints |
|
Compensation |
||
Complaints against the FSA |
||
Specialist sourcebooks |
[deleted]12 12 |
[deleted]12 12 |
Collective Investment Schemes12 sourcebook 1212 |
||
Credit unions |
||
[deleted]11 11 |
[deleted]11 11 |
|
Professional firms |
||
Deleted |
Deleted |
|
Mortgages |
MORT |
|
Recognised investment exchanges and Recognised clearing houses |
||
| 6 | 6 | |
Listing, Prospectus and Disclosure6 |
Listing Rules |
|
Prospectus Rules |
||
Disclosure Rules and Transparency Rules |
||
Schedules: Transitional provisions Summary schedules: 1. Record keeping requirements 2. Notification requirements 3. Fees and other required payments 4. Powers exercised in making the Handbook 5. Rights of action for damages 6. Rules that can be waived 7. Releases |
||
Glossary of definitions |
||
Index |
||