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Financial Conduct Authority Handbook
FCA

Financial Conduct Authority Handbook

The FCA Handbook contains provisions made by the FCA.

"IMPORTANT NOTICE:

On 30 September 2014 the PRA Board passed the following instrument:

PRA 2014/24 - PRA Rulebook: Housing Instrument 2014

This instrument has not yet been consolidated into the Handbook Online. We will update this notice once the outstanding changes have been made.

On 2 September 2014 the PRA Board passed the following instrument:

PRA 2014/23 - PRA Rulebook: Branch Rules Instrument 2014

This instrument has now been consolidated into the Handbook Online.

On 22 May 2014, the FCA Board passed the following instrument:

FCA 2014/34 - Financial Crime Guide (Amendment No 2) Instrument 2014

This instrument has not yet been consolidated into the Handbook Online. We will update this notice once the outstanding changes have been made.

On 25 July 2013, the FCA passed the following instrument:

FCA 2013/54 - Alternative Investment Fund Managers Directive (No 2) Instrument 2013

This instrument will not be consolidated. When a decision is made, this notice will be updated.

BlockSourcebook or manualReference Code

terms used in the Handbook

the meaning of defined terms used in the Handbook

Glossary

the standards applying to all firms and approved persons

the fundamental obligations of all firms under the regulatory system

PRIN

the responsibilities of directors and senior management

SYSC

the minimum standards for becoming and remaining authorised

COND

the fundamental obligations of approved persons

APER

the minimum standards for becoming and remaining an approved person

FIT

Provisions relating to financial stability, market confidence and short selling

FINMAR

the commitments and requirements concerning staff competence

TC

interpreting the Handbook, fees, approval by the FCA and PRA, emergencies, status disclosure, the FSA logo and insurance against fines

GEN

the fees provisions for funding the FCA and PRA, FOS and FSCS

FEES

The Prudential Standards Block sets out the prudential requirements for firms

General Prudential Sourcebook for Banks, Building Societies, Insurers and Investment Firms

GENPRU

Prudential Sourcebook for Banks, Building Societies and Investment Firms

BIPRU

The Prudential sourcebook for Investment Firms

IFPRU

Prudential sourcebook for Insurers

INSPRU

the prudential requirements for mortgage and home finance firms and insurance intermediaries

MIPRU

the prudential requirements for UCITS firms

UPRU

the prudential and notification requirements for friendly societies

IPRU-FSOC

the residual prudential and notification requirements for insurers

IPRU-INS

the prudential and notification requirements for investment firms

IPRU-INV

the detailed requirements relating to firms' day-to-day business

the conduct of business requirements applying to firms with effect from 1 November 2007

COBS

the non-investment insurance conduct of business requirements

ICOBS

the requirements applying to firms with mortgage business customers

MCOB

BCOBS

the requirements relating to holding client assets and client money

CASS

Code of Market Conduct, Price stabilising rules, Inter-professional conduct, Support of the Takeover Panel's Functions, Alternative Trading Systems, what is acceptable market conduct and what is market abuse

MAR

the manuals describing the operation of the FCA's and PRA's authorisation, supervisory and disciplinary functions

supervisory provisions including those relating to auditors, waivers, individual guidance, notifications and reporting

SUP

a description of the FCA's procedures for taking statutory notice decisions, the FCA's policy on the imposition and amount of penalties and the conduct of interviews to which a direction under section 169(7) of the Act has been given or the FSA is considering giving with effect from 28 August 2007

DEPP

the processes for handling complaints and compensation

the detailed requirements for handling complaints and the Financial Ombudsman Service arrangements

DISP

the requirements for all firms that advised, arranged or managed investments in an Arch cru fund

CONRED

the rules governing eligibility under, and levies for, the Financial Services Compensation Scheme

COMP

requirements applying to individual business sectors

requirements for collective investment schemes (replaced CIS)

COLL

requirements applying to credit unions

CREDS

The specialist sourcebook for credit-related regulated activities

CONC

Requirements for firms covered by AIFMD

FUND

requirements applying to professional firms (whether exempt or authorised)

PROF

requirements relating to regulated covered bonds

RCB

requirements applying to recognised bodies

REC

United Kingdom Listing Authority rules

United Kingdom Listing Authority listing rules

LR

United Kingdom Listing Authority prospectus rules

PR

United Kingdom Listing Authority disclosure rules

DTR

This section contains guides to the Handbook. They are aimed at giving a basic overview of certain topics and point firms in the direction of material in the Handbook applicable to them.

Energy Market Participants Guide

EMPS

Guide for Oil Market Participants

OMPS

Guide for service companies

SERV

Handbook Guide giving General guidance on Benchmark Submission and Administration

BENCH

These are guides to regulatory topics

Building Societies Regulatory Guide

BSOG

The Collective Investment Scheme Information Guide

COLLG

The Enforcement Guide

EG

Financial Crime: a guide for firms

FC

Perimeter Guidance

PERG

Responsibilities of Providers and Distributors for the Fair Treatment of Customers Guide

RPPD

Unfair Contract Terms Regulatory Guide

UNFCOG