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  • FCA 2017/34: Market Conduct Sourcebook (Commodity Derivatives Inside Information) Instrument 2017

    This instrument was made in the last month.

    Publish Date: 23rd June 2017

    FCA 2017/34: Market Conduct Sourcebook (Commodity Derivatives Inside Information) Instrument 2017

  • FCA 2017/35: Supervision Manual (Reporting No 5) Instrument 2017

    This instrument was made in the last month.

    Publish Date: 23rd June 2017

    FCA 2017/35: Supervision Manual (Reporting No 5) Instrument 2017

  • COBS 19 Annex 3 Format for annuity information

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 1st March 2018

    COBS 19 Annex 3 Format for annuity information

  • COBS 19.9 Pension annuity comparison information

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 1st March 2018

    COBS 19.9 Pension annuity comparison information

  • FCA 2017/31: Enforcement (Bank Recovery and Resolution Order 2016) Instrument 2017

    This instrument was made in the last month.

    Publish Date: 26th May 2017

    FCA 2017/31: Enforcement (Bank Recovery and Resolution Order 2016) Instrument 2017

  • FCA 2017/30: Conduct of Business Sourcebook (Pension Annuity Comparator) Instrument 2017

    This instrument was made in the last month.

    Publish Date: 26th May 2017

    FCA 2017/30: Conduct of Business Sourcebook (Pension Annuity Comparator) Instrument 2017

  • FCA 2017/29: Handbook Administration (No 46) Instrument 2017

    This instrument was made in the last month.

    Publish Date: 26th May 2017

    FCA 2017/29: Handbook Administration (No 46) Instrument 2017

  • Introducing topic-based navigation

    Publish Date: 12th May 2017

    Introducing topic-based navigation We have launched new features on the Handbook website that will allow you to search by key topics within the Conduct of Business Sourcebook (COBS) – and we want your…

  • board director

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 3rd July 2017

    board director

    69 (in relation to a firm ) has the same meaning as “director” in section 64A(7) of the Act (Rules of conduct).

  • standard non-executive director

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 3rd July 2017

    standard non-executive director

    159 (in relation to a firm ) any of the following: (1) a board director of that firm who: (a) has no responsibility for implementing the decisions or the policies of the board of directors , or if the…

  • key information document

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 1st January 2018

    key information document

    10 a document that is drawn up for a PRIIP in accordance with the PRIIPs Regulation .

  • non-PRIIP packaged product

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 1st January 2018

    non-PRIIP packaged product

    72 a packaged product other than a packaged retail and insurance-based investment product ( PRIIP ).

  • PRIIP

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 1st January 2018

    PRIIP

    154 a packaged retail and insurance-based investment product .

  • KII-compliant NURS

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 1st January 2018

    KII-compliant NURS

    10 a non-UCITS retail scheme where the authorised fund manager or ICVC has prepared a NURS-KII document instead of a key information document .

  • NURS-KII document

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 1st January 2018

    NURS-KII document

    72 a document prepared for a retail client in a non-UCITS retail scheme which contains the key investor information required by COLL 4.7.2R (Key investor information).

  • PRIIPs Regulation

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 1st January 2018

    PRIIPs Regulation

    154 Regulation (EU) No 1286/2014 of the European Parliament and of the Council of 26 November 2014 on key information documents for packaged retail and insurance-based investment products (PRIIPs). ht…

  • packaged retail and insurance-based investment product

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 1st January 2018

    packaged retail and insurance-based investment product

    154 a product that is: (1) a packaged retail and insurance-based investment product within the meaning of article 4(3) of the PRIIPs Regulation ; and (2) not exempt from the application of the PRIIPs…

  • COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 1st January 2018

    COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS

  • DTR 6 Annex 1 Classes and sub-classes of regulated information

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 1st October 2017

    DTR 6 Annex 1 Classes and sub-classes of regulated information

  • CCA lender

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 29th August 2017

    CCA lender

    210 has the same meaning as “creditor” under section 140C of the CCA which is, in summary: (a) a “creditor” is a person who provides the debtor with credit of any amount; (b) references to a “creditor…