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  • FCA 2019/99: Conduct of Business (Speculative Illiquid Securities) Instrument 2019

    This instrument was made in the last month.

    Publish Date: 26th November 2019

    FCA 2019/99: Conduct of Business (Speculative Illiquid Securities) Instrument 2019

  • FCA 2019/98: Proxy Advisors (DEPP and EG) Instrument 2019

    This instrument was made in the last month.

    Publish Date: 25th November 2019

    FCA 2019/98: Proxy Advisors (DEPP and EG) Instrument 2019

  • FCA 2019/97: Over-the-Counter Derivatives, Central Counterparties and Trade Repositories (No 3) Instrument 2019

    This instrument was made in the last month.

    Publish Date: 22nd November 2019

    FCA 2019/97: Over-the-Counter Derivatives, Central Counterparties and Trade Repositories (No 3) Instrument 2019

  • FCA 2019/96: Supervision Manual (Reporting No 12) Instrument 2019

    This instrument was made in the last month.

    Publish Date: 22nd November 2019

    FCA 2019/96: Supervision Manual (Reporting No 12) Instrument 2019

  • FCA 2019/95: Training and Competence Sourcebook (Amendment No 8) Instrument 2019

    This instrument was made in the last month.

    Publish Date: 22nd November 2019

    FCA 2019/95: Training and Competence Sourcebook (Amendment No 8) Instrument 2019

  • Governor Software: new feature

    Publish Date: 20th November 2019

    We have added a new navigational tool to the Handbook website to help you find information more easily. This new “graph view” tool will allow you to: search the Handbook content by term/applying advan…

  • FIIA

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

    Effective Date: 30th September 2020

    FIIA

    128 a fund investing in inherently illiquid assets .

  • fund investing in inherently illiquid assets

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

    Effective Date: 30th September 2020

    fund investing in inherently illiquid assets

    128 a non-UCITS retail scheme which satisfies the conditions in (1), (2) and (3): (1) either: (a) the investment objectives and policy published in the instrument constituting the fund and the prospec…

  • inherently illiquid asset

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

    Effective Date: 30th September 2020

    inherently illiquid asset

    168 an asset which is: (1) an immovable; (2) an investment in an infrastructure project; (3) a transferable security (within paragraph (2) of that definition) that is neither: (a) a government and pub…

  • SUP 15 Annex 14R Notification Procedures for Changes to the Management Body for Non-SMF Directors

    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: 9th December 2019

    SUP 15 Annex 14R Notification Procedures for Changes to the Management Body for Non-SMF Directors

  • SUP 15.16 Notification of changes in the management body

    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: 9th December 2019

    SUP 15.16 Notification of changes in the management body

  • Glossary pop-up: new feature

    Publish Date: 10th August 2019

    The pop up window that appears whenever an italicised glossary term is clicked on has been enhanced. The pop-up window now contains two tabs: Content - which contains the glossary definition, as befor…

  • Note regarding Chapter 5C

    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: 18th December 2019

    Note regarding Chapter 5C

  • CONC 5C.4 Impact of changes to charging structures

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

    Effective Date: 6th April 2020

    CONC 5C.4 Impact of changes to charging structures

  • CONC 5D.4 Monitoring repeat use strategies

    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: 18th December 2019

    CONC 5D.4 Monitoring repeat use strategies

  • CONC 5D.5 Reporting on repeat use of overdrafts

    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: 18th December 2019

    CONC 5D.5 Reporting on repeat use of overdrafts

  • CONC 5C.1 Application and purpose

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

    Effective Date: 6th April 2020

    CONC 5C.1 Application and purpose

  • CONC 5D.1 Purpose and application

    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: 18th December 2019

    CONC 5D.1 Purpose and application

  • CONC 5D.2 Obligation to identify and monitor repeat use of overdrafts

    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: 18th December 2019

    CONC 5D.2 Obligation to identify and monitor repeat use of overdrafts

  • CONC 5C.5 Interpretation

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

    Effective Date: 6th April 2020

    CONC 5C.5 Interpretation