DEPP SCH 4 - 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 2024/30: Decision Procedure and Penalties Manual (Digital Securities Sandbox) Instrument 2024

  Chapter: DEPP

  Effective Date: 26th 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 2021/49: Investment Firms Prudential Regime (No. 2) Instrument 2021

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

  Effective Date: 26th November 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 2020/57: Exiting the European Union: Securitisation Repositories (DEPP and EG) Instrument 2020

  Chapter: Glossary, DEPP

  Effective Date: 1st October 2020

• 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 2018/29: 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

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

  Chapter: Glossary, PR, DEPP, EG

  Effective Date: 8th December 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 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 2016/52: Payment Accounts Instrument 2016

  Chapter: Glossary, SUP, ICOBS, BCOBS, DEPP

  Effective Date: 1st August 2016

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

  Chapter: Glossary, DISP, SUP, DEPP, EG

  Effective Date: 18th March 2016

• FOS 2016/1: Small and Medium Sized Business (Credit Information) Instrument 2016

  Chapter: Glossary, DISP, SUP, DEPP, EG

  Effective Date: 18th March 2016

• FCA 2015/64: Individual Accountability (Enforcement) Instrument 2015

  Chapter: Glossary, DEPP, EG, ANNEX, APPENDIX

  Effective Date: 9th December 2015

• FCA 2015/33: Mortgage Credit Directive (Consumer Buy-To-Let) Instrument 2015

  Chapter: Glossary, SUP, DEPP, DISP

  Effective Date: 5th June 2015