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  • EMIR indirect clearing RTS

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

    Effective Date: 3rd January 2018

    EMIR indirect clearing RTS

    124 Commission Delegated Regulation (EU) No 2017/2155 of 22 September 2017 amending Commission Delegated Regulation (EU) No 149/2013 with regard to regulatory technical standards on indirect clearing…

  • MiFIR indirect clearing default management obligations

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

    Effective Date: 3rd January 2018

    MiFIR indirect clearing default management obligations

    126 article 4 of the MiFIR indirect clearing RTS .

  • EMIR indirect clearing default management obligations

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

    Effective Date: 3rd January 2018

    EMIR indirect clearing default management obligations

    124 article 4 of the EMIR L2 Regulation .

  • SUP 10A Annex 10 MiFID Article 4 APER Information Form

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

    Effective Date: 3rd January 2018

    SUP 10A Annex 10 MiFID Article 4 APER Information Form

  • MiFIR indirect clearing RTS

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

    Effective Date: 3rd January 2018

    MiFIR indirect clearing RTS

    126 Commission Delegated Regulation (EU) No 2017/2154 of 22 September 2017 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical s…

  • MiFID II ITS

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

    Effective Date: 3rd January 2018

    MiFID II ITS

    125 MiFID II / MiFIR draft Technical Standards ESMA/2015/1006 of 29 June 2015 on authorisation, passporting, registration of third country firms and cooperation between competent authorities.

  • SUP 10C Annex 7 MiFID Article 4 SMR Information Form

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

    Effective Date: 3rd January 2018

    SUP 10C Annex 7 MiFID Article 4 SMR Information Form

  • RPPD link PDF The Responsibilities of Providers and Distributors for the Fair Treatment of Customers

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

    Effective Date: 3rd January 2018

    RPPD link PDF The Responsibilities of Providers and Distributors for the Fair Treatment of Customers

  • SUP 10C Annex 7D MiFID Article 4 SMR Information Form

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

    Effective Date: 3rd January 2018

    SUP 10C Annex 7D MiFID Article 4 SMR Information Form

  • EG 19.34 Markets in Financial Instruments Regulations 2017

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

    Effective Date: 3rd January 2018

    EG 19.34 Markets in Financial Instruments Regulations 2017

  • EG 19.35 Data Reporting Services Regulations 2017

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

    Effective Date: 3rd January 2018

    EG 19.35 Data Reporting Services Regulations 2017

  • COBS 9.5A Additional guidance for firms with insistent clients

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

    Effective Date: 3rd January 2018

    COBS 9.5A Additional guidance for firms with insistent clients

  • FOS 2017/5: FCA Instrument Number Not Used

    This instrument was made in the last month.

    Publish Date: 8th December 2017

    FOS 2017/5: FCA Instrument Number Not Used

  • FCA 2017/79: FCA Instrument Number Not Used

    This instrument was made in the last month.

    Publish Date: 8th December 2017

    FCA 2017/79: FCA Instrument Number Not Used

  • FCA 2017/69: Periodic Fees (2017/18) and Other Fees (No 2) Instrument 2017

    This instrument was made in the last month.

    Publish Date: 8th December 2017

    FCA 2017/69: Periodic Fees (2017/18) and Other Fees (No 2) Instrument 2017

  • FCA 2017/76: Conduct of Business Sourcebook (Packaged Retail and Insurance-based Investment Products Regulation) (Amendment) Instrument 2017

    This instrument was made in the last month.

    Publish Date: 8th December 2017

    FCA 2017/76: Conduct of Business Sourcebook (Packaged Retail and Insurance-based Investment Products Regulation) (Amendment) Instrument 2017

  • FCA 2017/73: Supervision Manual (Amendment No 23) Instrument 2017

    This instrument was made in the last month.

    Publish Date: 8th December 2017

    FCA 2017/73: Supervision Manual (Amendment No 23) Instrument 2017

  • FCA 2017/75: Supervision Manual (Reporting No 7) Instrument 2017

    This instrument was made in the last month.

    Publish Date: 8th December 2017

    FCA 2017/75: Supervision Manual (Reporting No 7) Instrument 2017

  • FCA 2017/80: Client Assets (Indirect Clearing) Instrument 2017

    This instrument was made in the last month.

    Publish Date: 8th December 2017

    FCA 2017/80: Client Assets (Indirect Clearing) Instrument 2017

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

    This instrument was made in the last month.

    Publish Date: 8th December 2017

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