DEPP 2 ANNEX 1 - Rule-making and Amending Instruments

• FCA 2024/40: Critical Third Parties (Statement of Policy Relating to Disciplinary Measures) Instrument 2024

  Chapter: Glossary, DEPP

  Effective Date: 12th November 2024

• FCA 2024/37: Long-Term Investment Fund (Amendment) Instrument 2024

  Chapter: Glossary, FEES, COMP, DISP, COBS, DEPP, FUND, COLL, EG

  Effective Date: 5th November 2024

• FCA 2024/30: Decision Procedure and Penalties Manual (Digital Securities Sandbox) Instrument 2024

  Chapter: DEPP

  Effective Date: 26th July 2024

• FCA 2024/22: Collective Investment Schemes (Schemes Authorised in Approved Countries) Instrument 2024

  Chapter: Glossary, FEES, COBS, DEPP, COLL, PERG, EG

  Effective Date: 17th July 2024

• FCA 2024/24: UK Listing Rules (Consequential Amendments) Instrument 2024

  Chapter: Glossary, DTR, FEES, APER, COBS, DEPP, COCON, EG, ESG

  Effective Date: 11th July 2024

• FCA 2024/18: Securitisation (Smarter Regulatory Framework and Consequential Amendments) Instrument 2024

  Chapter: Glossary, FEES, GEN, DEPP, FUND, COLL, MIFIDPRU, SECN, SYSC

  Effective Date: 30th April 2024

• FCA 2024/6: Data Reporting Services Forms (Amendment) Instrument 2024

  Chapter: Glossary, REC, DEPP, EG, MAR

  Effective Date: 2nd April 2024

• FCA 2023/42: Data Reporting Services (Amendment) Instrument 2023

  Chapter: Glossary, MAR, REC, COBS, DEPP, EG, M2G, SYSC

  Effective Date: 20th December 2023

• FCA 2023/38: Financial Promotion (Approver Permission) Instrument 2023

  Chapter: Glossary, FEES, SUP, PERG, COBS, DEPP, ICOBS, BCOBS, CONC, MCOB, CMCOB, FPCOB

  Effective Date: 27th October 2023

• FCA 2022/46: Collective Investment Schemes (Individually Recognised Overseas Schemes and Miscellaneous Amendments) Instrument 2022

  Chapter: Glossary, DEPP, COLL, EG

  Effective Date: 16th December 2022

• FCA 2022/35: Handbook Administration (No 61) Instrument 2022

  Chapter: SUP, CASS, DEPP

  Effective Date: 30th September 2022

• FCA 2021/49: Investment Firms Prudential Regime (No. 2) Instrument 2021

  Chapter: Glossary, SUP, DEPP, EG, MIFIDPRU, MIDFIDPRU, SYSC

  Effective Date: 26th November 2021

• FCA 2021/46: Changes to Decision Making for Statutory Notice Procedure Instrument 2021

  Chapter: DEPP, EG

  Effective Date: 26th November 2021

• FCA 2021/28: Fees and Decision-Making (Cancellation of Permission) Instrument 2021

  Chapter: FEES, DEPP

  Effective Date: 23rd July 2021

• FCA 2021/15: UK Emission Trading Scheme Instrument 2021

  Chapter: Glossary, MAR, LR, FEES, SUP, DISP, REC, PERG, COBS, PRIN, DEPP, TC, IPRU-INV, EG, SYSC

  Effective Date: 30th April 2021

• FOS 2021/3: UK Emission Trading Scheme Instrument 2021

  Chapter: MAR, LR, FEES, SUP, DISP, REC, PERG, COBS, PRIN, DEPP, TC, IPRU-INV, EG, SYSC

  Effective Date: 30th April 2021

• FCA 2020/47: Exiting the European Union: Handbook (Amendments) Instrument 2020

  Chapter: Glossary, MCOB, LR, SUP, GEN, SYSC, DTR, COBS, PRIN, DEPP, RCB, BCOBS, COLL, PERG, CONC, EG, PROD, PRR

  Effective Date: 1st October 2020

• FCA 2020/43: Decision Procedure and Penalties Manual (Office for Professional Body Anti-Money Laundering Supervision) Regulations Instrument 2020

  Chapter: Glossary, DEPP

  Effective Date: 1st October 2020

• FCA 2020/57: Exiting the European Union: Securitisation Repositories (DEPP and EG) Instrument 2020

  Chapter: Glossary, DEPP

  Effective Date: 1st October 2020

• FCA 2019/74: Enforcement (EU Securitisation Regulation) (No 2) Instrument 2019

  Chapter: DEPP, EG

  Effective Date: 6th June 2019

• FCA 2019/32: Trade Repositories (Guidance) Instrument 2019

  Chapter: DEPP, EG

  Effective Date: 28th March 2019

• FCA 2019/2: Enforcement (EU Securitisation Regulation) Instrument 2019

  Chapter: Glossary, DEPP, EG

  Effective Date: 3rd January 2019

• FCA 2018/42: Enforcement (Social Entrepreneurship Funds, Venture Capital Funds and Money Market Funds) Instrument 2018

  Chapter: Glossary, DEPP, EG

  Effective Date: 27th July 2018

• FCA 2018/43: Enforcement (Financial Services Act 2012 (Mutual Societies) Order 2018) Instrument 2018

  Chapter: DEPP, EG

  Effective Date: 27th July 2018

• FCA 2018/29: Benchmarks Regulation (Amendment) Instrument 2018

  Chapter: Glossary, MAR, COND, FIT, SUP, FEES, DISP, APER, GEN, SYSC, PRIN, DEPP, CREDS, BENCH, MCOB, COCON, PERG, EG

  Effective Date: 29th June 2018

• FCA 2018/1: Enforcement (Packaged Retail and Insurance-Based Investment Products Regulations 2017) Instrument 2018

  Chapter: DEPP, EG

  Effective Date: 4th January 2018

• FOS 2017/8: Risk Transformation Regulations 2017 (Consequential Amendments) Instrument 2017

  Chapter: Glossary, SUP, FEES, DISP, SYSC, PRIN, COBS, DEPP

  Effective Date: 12th December 2017

• FCA 2017/81: Risk Transformation Regulations 2017 (Consequential Amendments) Instrument 2017

  Chapter: Glossary, SUP, FEES, DISP, SYSC, PRIN, COBS, DEPP

  Effective Date: 12th December 2017

• FCA 2017/77: MiFID 2 (Deferred Matters) Instrument 2017

  Chapter: Glossary, PR, DEPP, EG

  Effective Date: 8th December 2017

• FOS 2017/4: Payment Services Instrument 2017

  Chapter: Glossary, DISP, SUP, GEN, SYSC, PRIN, COBS, DEPP, PERG, BCOBS, CONC, EG

  Effective Date: 18th September 2017

• FCA 2017/54: Payment Services Instrument 2017

  Chapter: Glossary, DISP, SUP, GEN, SYSC, PRIN, COBS, DEPP, PERG, BCOBS, CONC, EG

  Effective Date: 18th September 2017

• FCA 2017/49: Fourth Money Laundering Directive (Enforcement and Consequential Amendments) Instrument 2017

  Chapter: Glossary, FEES, SUP, DEPP, SYSC, EG

  Effective Date: 21st July 2017

• FCA 2017/39: Conduct, Perimeter Guidance and Miscellaneous Provisions (MiFID 2) Instrument 2017

  Chapter: MAR, PR, LR, TC, FIT, SUP, PERG, DISP, GEN, PROF, SYSC, REC, PRIN, DTR, CASS, COBS, DEPP, BCOBS, FUND, COLL, PROD

  Effective Date: 3rd July 2017

• FCA 2017/9: Enforcement (Co-operative and Community Benefit Societies Act 2014) Instrument 2017

  Chapter: Glossary, DEPP, EG

  Effective Date: 24th February 2017

• FCA 2017/8: Enforcement (Money Laundering Regulations 2007) Instrument 2017

  Chapter: DEPP

  Effective Date: 24th February 2017

• FCA 2016/63: Small and Medium Sized Business (Finance Platforms) Instrument 2016

  Chapter: Glossary, DISP, SUP, DEPP, EG

  Effective Date: 23rd September 2016

• FOS 2016/8: Small and Medium Sized Business (Finance Platforms) Instrument 2016

  Chapter: Glossary, DISP, SUP, DEPP, EG

  Effective Date: 23rd September 2016

• FCA 2016/56: Enforcement (European Long-Term Investment Funds Regulations 2015) Instrument 2016

  Chapter: DEPP, EG

  Effective Date: 29th July 2016

• FCA 2016/47: Enforcement (Market Abuse Regulation) Instrument 2016

  Chapter: Glossary, DEPP, EG

  Effective Date: 30th June 2016

• FCA 2016/17: Small and Medium Sized Business (Credit Information) Instrument 2016

  Chapter: Glossary, DISP, SUP, DEPP, EG

  Effective Date: 18th March 2016