To support the transition to the FCA and the PRA, this section shows a combined view of all provisions made by both regulators. It combines the FCA Handbook and PRA Handbook in a single view and it is not a Handbook in its own right.
| Block | Sourcebook or manual | Reference Code |
|---|---|---|
Glossaryterms used in the Handbook | Glossarythe meaning of defined terms used in the Handbook | Glossary |
High Level Standardsthe standards applying to all firms and approved persons | ||
Principles for Businessesthe fundamental obligations of all firms under the regulatory system | PRIN | |
Senior Management Arrangements, Systems and Controlsthe responsibilities of directors and senior management | SYSC | |
Threshold Conditionsthe minimum standards for becoming and remaining authorised | COND | |
Statements of Principle and Code of Practice for Approved Personsthe fundamental obligations of approved persons | APER | |
The Fit and Proper test for Approved Personsthe minimum standards for becoming and remaining an approved person | FIT | |
Financial Stability and Market Confidence SourcebookProvisions relating to financial stability, market confidence and short selling | FINMAR | |
Training and Competencethe commitments and requirements concerning staff competence | TC | |
General Provisionsinterpreting the Handbook, fees, approval by the FCA and PRA, emergencies, status disclosure, the FSA logo and insurance against fines | GEN | |
Fees Manualthe fees provisions for funding the FCA and PRA, FOS and FSCS | FEES | |
Prudential StandardsThe Prudential Standards Block sets out the prudential requirements for firms | ||
Integrated Prudential sourcebook (31/12/2006 is the last day this material was in force)prudential requirements for insurers, groups, mortgage firms and insurance intermediaries and, in relation to liquidity risk, for banks, building societies and own account dealers | PRU | |
General Prudential sourcebookGeneral Prudential Sourcebook for Banks, Building Societies, Insurers and Investment Firms | GENPRU | |
Prudential sourcebook for Banks, Building Societies and Investment FirmsPrudential Sourcebook for Banks, Building Societies and Investment Firms | BIPRU | |
Prudential sourcebook for InsurersPrudential sourcebook for Insurers | INSPRU | |
Prudential sourcebook for Mortgage and Home Finance Firms, and Insurance Intermediariesthe prudential requirements for mortgage and home finance firms and insurance intermediaries | MIPRU | |
Prudential sourcebook for UCITS Firmthe prudential requirements for UCITS firms | UPRU | |
Interim Prudential sourcebook for Banks (31/10/2010 is the last day this material was in force)the prudential and notification requirements for banks | IPRU-BANK | |
Interim Prudential sourcebook for Building Societies (30/09/2010 is the last day this material was in force)the prudential and notification requirements for building societies | IPRU-BSOC | |
Interim Prudential sourcebook for Friendly Societiesthe prudential and notification requirements for friendly societies | IPRU-FSOC | |
Interim Prudential sourcebook for Insurersthe residual prudential and notification requirements for insurers | IPRU-INS | |
Interim Prudential sourcebook for Investment Businessesthe prudential and notification requirements for investment firms | IPRU-INV | |
Business Standardsthe detailed requirements relating to firms' day-to-day business | ||
Conduct of Business (31/10/2007 is the last day this material was in force)the requirements applying to firms with investment business customers | COB | |
Conduct of Business Sourcebookthe conduct of business requirements applying to firms with effect from 1 November 2007 | COBS | |
Insurance: Conduct of Business (05/01/2008 is the last day this material was in force)the requirements applying to firms with insurance business customers | ICOB | |
Insurance: Conduct of Business sourcebookthe non-investment insurance conduct of business requirements | ICOBS | |
Mortgages and Home Finance: Conduct of Business sourcebookthe requirements applying to firms with mortgage business customers | MCOB | |
Banking: Conduct of Business sourcebook | BCOBS | |
Client Assetsthe requirements relating to holding client assets and client money | CASS | |
Market ConductCode of Market Conduct, Price stabilising rules, Inter-professional conduct, Endorsement of the Takeover Code, Alternative Trading Systems, what is acceptable market conduct and what is market abuse | MAR | |
Money Laundering (30/08/2006 is the last day this material was in force)the requirements for anti-money laundering systems and controls | ML | |
Regulatory Processesthe manuals describing the operation of the FCA's and PRA's authorisation, supervisory and disciplinary functions | ||
Authorisation (to see AUTH derivations and destinations tables, go to Useful links) (30/12/2006 is the last day this material was in force)guidance on whether authorisation is needed, how to apply for it and related issues | AUTH | |
Supervisionsupervisory provisions including those relating to auditors, waivers, individual guidance, notifications and reporting | SUP | |
Enforcement (27/08/2007 is the last day this material was in force)details of the FSA's disciplinary and enforcement arrangements | ENF | |
Decision Procedure and Penalties Manuala 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 | |
Decision Making (27/08/2007 is the last day this material was in force)the FSA's decision-making processes | DEC | |
Redressthe processes for handling complaints and compensation | ||
Dispute Resolution: Complaintsthe detailed requirements for handling complaints and the Financial Ombudsman Service arrangements | DISP | |
Consumer Redress Schemes sourcebookthe requirements for all firms that advised, arranged or managed investments in an Arch cru fund | CONRED | |
Compensationthe rules governing eligibility under, and levies for, the Financial Services Compensation Scheme | COMP | |
Complaints against the FSA (31/03/2013 is the last day this material was in force)details of the scheme for handling complaints against the FSA | COAF | |
Specialist sourcebooksrequirements applying to individual business sectors | ||
Building Societies sourcebookguidance for building societies | BSOCS | |
Collective Investment Schemes (11/02/2007 is the last day this material was in force)requirements for collective investment schemes | CIS | |
Collective Investment Schemesrequirements for collective investment schemes (replaced CIS) | COLL | |
Credit Unions (07/01/2012 is the last day this material was in force)requirements applying to credit unions | CRED | |
Credit Unions New sourcebookrequirements applying to credit unions | CREDS | |
Electronic Commerce Directive (31/10/2007 is the last day this material was in force)requirements for firms providing financial services by electronic means | ECO | |
Electronic Money (29/04/2012 is the last day this material was in force)requirements for firms issuing electronic money | ELM | |
Lloyd's (30/12/2006 is the last day this material was in force)requirements applying to Lloyd's and members of Lloyd's | LLD | |
Professional Firmsrequirements applying to professional firms (whether exempt or authorised) | PROF | |
Regulated Covered Bondsrequirements relating to regulated covered bonds | RCB | |
Recognised Investment Exchangesrequirements applying to recognised bodies | REC | |
Listing, Prospectus and DisclosureUnited Kingdom Listing Authority rules | ||
Listing RulesUnited Kingdom Listing Authority listing rules | LR | |
Prospectus RulesUnited Kingdom Listing Authority prospectus rules | PR | |
Disclosure Rules and Transparency RulesUnited Kingdom Listing Authority disclosure rules | DTR | |
Handbook GuidesThis 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 ParticipantsEnergy Market Participants Guide | EMPS | |
Small Friendly Societies (12/06/2005 is the last day this material was in force)(See FREN instruments for various in force dates). Prudential requirements for insurers, groups, mortgage firms and insurance intermediaries | FREN | |
Oil Market ParticipantsGuide for Oil Market Participants | OMPS | |
Service companiesGuide for service companies | SERV | |
General guidance on Benchmark Submission and AdministrationHandbook Guide giving General guidance on Benchmark Submission and Administration | BENCH | |
Using the FSA Handbook: an Overview for small IFA firms (30/08/2006 is the last day this material was in force)Guide to using the FSA Handbook: an Overview for small IFA firms | SIFA | |
Small Mortgage and Insurance Intermediaries: Part I - General Rules (30/08/2006 is the last day this material was in force)Small Mortgage and Insurance Intermediaries: Part I - General Rules | MIGI | |
Small Mortgage and Insurance Intermediaries: Part II - Mortgage Intermediaries (additional rules) (30/08/2006 is the last day this material was in force)Small Mortgage and Insurance Intermediaries: Part II - Mortgage Intermediaries (additional rules) | MOGI | |
Small Mortgage and Insurance Intermediaries: Part III - Insurance Intermediaries (additional rules) (30/08/2006 is the last day this material was in force)Small Mortgage and Insurance Intermediaries: Part III - Insurance Intermediaries (additional rules) | GIGI | |
Regulatory GuidesThese are guides to regulatory topics | ||
The Building Societies Regulatory GuideBuilding Societies Regulatory Guide | BSOG | |
The Collective Investment Scheme Information GuideThe Collective Investment Scheme Information Guide | COLLG | |
The Credit Rating Agencies Guide (08/12/2011 is the last day this material was in force)The Credit Rating Agencies Guide | CRAG | |
The Enforcement GuideThe Enforcement Guide | EG | |
Financial Crime: a guide for firmsFinancial Crime: a guide for firms | FC | |
The Perimeter Guidance ManualPerimeter Guidance | PERG | |
The Responsibilities of Providers and Distributors for the Fair Treatment of CustomersResponsibilities of Providers and Distributors for the Fair Treatment of Customers Guide | RPPD | |
The Unfair Contract Terms Regulatory GuideUnfair Contract Terms Regulatory Guide | UNFCOG |