FS Handbooks - What's new

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New Guide to designation

For information on how the FCA and PRA Handbooks were formed, please see the Guide to designation.

Search functionality

An enhanced Search functionality is available for the FS Handbook online. For help on how best to use this tool, please see Part 4 of the User Guide.

We appreciate your comments and feedback by email to handbook.feedback@fca.org.uk.

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Instruments

April Board
By date and reference number

Reference Number	Title	FCA/PRA
FCA2013/44	Listing Rules Sourcebook (Amendment No 9) Instrument 2013	[FCA]
FCA2013/43	Conduct of Business Sourcebook (Platforms) (Amendment) Instrument 2013	[FCA]
FCA2013/42	Training and Competence Sourcebook (Qualifications Amendments No 8) Instrument 2013	[FCA]
FCA2013/41	Handbook Administration (No 29) Instrument 2013	[FCA]
FCA2013/40	FCA Handbook Designation (Correction) Instrument 2013	[FCA]
PRA2013/21	Prudential Regulation Authority Handbook Designation (Correction No 1) Instrument 2013	[PRA]

Handbook publications (Handbook notices and Policy development updates)

New Handbook publications since the last board meeting. FCA Board meetings are normally held on the fourth Thursday of every month.

All FCA Handbook publications are published on the FCA Resources page, available at http://www.fca.org.uk/your-fca/list

The FCA usually publishes its Handbook Notice on the day following the FCA Board meeting. To find Handbook Notices in the FCA Resources click here.

Policy development updates - scheduled to be published on the last Friday of every month. To find Policy development updates in the FCA Resources click here.

Handbook releases

Hardcopy Releases

Release 137 (Handbook text as at 7th April 2013 - 6th May 2013) is due to be dispatched by the end of May.

Releases are usually dispatched within six weeks following the effective date of Handbook material depending on the volume of amendments.

To find Handbook Releases online in the FCA Resources click here, type Handbook release into Search box and select Submit.

Handbook releases are normally published monthly and contain the updated pages for the Handbook, by module, so that users can print off each release to update their copy of the Handbook, or any module.

Consultation papers, Discussion papers, Policy statements

FCA

To see the latest policy publications click here; then choose the type of document you wish to find from the Type box and select Submit.

PRA

PRA Publications

Changes to Handbook text made by instruments this month

You can elect to receive email notification of changes to the text of the FCA and PRA Handbooks by clicking on the

symbol at the top of any module, chapter or section, and can manage your selection using the "Alerts" page.

There are no amendments to the IPRU sourcebooks this month.

Details of change	FCA/PRA
PRIN 1.1: Application and purpose	[FCA] [PRA]
TC App 4.1: Appropriate Qualification tables	[FCA]
FEES 6.1: Application	[FCA] [PRA]
BIPRU 7.11: Credit derivatives in the trading book	[FCA] [PRA]
COBS 4.2: Fair, clear and not misleading communications	[FCA]
COBS 5.2: E-Commerce	[FCA]
COBS 6.1A: Adviser charging and remuneration	[FCA]
COBS 6.1B: Retail investment product provider and platform service provider requirements relating to adviser charging and remuneration	[FCA]
COBS 6.1E: Platform service providers	[FCA]
COBS 6.1F: Using a platform service for arranging and advising	[FCA]
COBS 7.2: Information to be provided by the insurance intermediary	[FCA]
COBS TP 2: Other Transitional Provisions	[FCA]
ICOBS 3.2: E-Commerce	[FCA]
MCOB 2.7A: E-Commerce	[FCA]
MCOB 6.5: Mortgages: information to be provided in the offer document or separately	[FCA]
BCOBS 3.2: E Commerce	[FCA]
BCOBS 3 Annex 1: Distance marketing information	[FCA]
CASS 7.8: Notification and acknowledgement of trust	[FCA]
SUP 2.3: Information gathering by the appropriate regulator on its own initiative: cooperation by firms	[FCA] [PRA]
SUP 12.1: Application and purpose	[FCA]
SUP 16 Annex 18A: Retail Mediation Activities Return ('RMAR')	[FCA]
SUP 16 Annex 18B: Notes for Completion of the Retail Mediation Activities Return ('RMAR')	[FCA]
CONRED 2 Annex 11: Redress determination letter for scheme cases	[FCA]
COLL 4.2: Pre-sale notifications	[FCA]
COLL 4.5: Reports and accounts	[FCA]
COLL 5.2: General investment powers and limits for UCITS schemes	[FCA]
LR 8.2: When a sponsor must be appointed or its guidance obtained	[FCA]
LR 18.2: Requirements for listing	[FCA]
LR App 1.1: Relevant definitions	[FCA]
PR 2.3: Minimum information to be included in a prospectus	[FCA]
PR 3.2: Filing and publication of prospectus	[FCA]
DTR 1A.1: Application and purpose (Transparency rules)	[FCA]
DTR 1A.4: Fees	[FCA]

Changes to guides made by instruments this month

Amendments to guides this month:

Details of change	FCA/PRA
BSOG 2.6: Transfer Of Engagements Under Direction	[PRA]
FC link PDF: Financial Crime: a guide for firms	[FCA]
PERG 4.5: Arranging regulated mortgage contracts	[FCA]
PERG 8.14: Other financial promotions	[FCA]
PERG 8.22: The Internet	[FCA]
PERG 8.29: Advice must relate to the merits (of buying or selling a particular investment)	[FCA]

Changes to Handbook text becoming effective this month

There are no changes to IPRUs becoming effective between 7th May - 6th June.

Section amended	Reason for change	Effective date	FCA/PRA

Changes to guides becoming effective this month

There are no changes to guides becoming effective between 7th May - 6th June.

Section amended	Reason for change	Effective date	FCA/PRA

List of addenda to instruments

Reference number	Title of instrument	Date of addendum	Date effective	Relevant sourcebook/manual
FSA 2007/58	MiFID (Deferred Matters and Consequential Amendments) Instrument 2007 (Errata)	5 November 2007	1 November 2007	COBS
FSA 2007/58	MiFID (Deferred Matters and Consequential Amendments) Instrument 2007	25 October 2007	1 November 2007	MCOB
FSA 2005/28	Periodic Fees (2005/2006) Instrument 2005	18 August 2005	18 August 2005	SUP
FSA 2005/25	Third Party Processors Instrument 2005	24 May 2005	24 May 2005	GEN
FSA 2005/23	Simplified Prospectus Instrument 2005	23 June 2005	23 June 2005	COB Glossary
FSA 2005/18	Electronic Money Sourcebook (Amendment) Instrument 2005	21 April 2005	21 April 2005	ELM
FSA 2005/15	Market Abuse Directive Instrument 2005	18 August 2005	18 August 2005	MAR
FSA 2004/98	Integrated Prudential Sourcebook (Insurers and other Amendments) (Consequential Amendments) Instrument	13 April 2005	13 April 2005	Glossary
FSA 2004/98	Integrated Prudential Sourcebook (Insurers and other Amendments) (Consequential Amendments) Instrument	22 December 2004	22 December 2004	Glossary IPRU (INS)
FSA 2004/94	Supervision Manual (Actuaries) Instrument 2004	29 July 2005	29 July 2005	SUP
FSA 2004/92	Client Assets Sourcebook (Amendment No 2) Instrument	25 November 2004	25 November 2004	CASS
FSA 2004/89	Depolarisation Instrument	18 August 2005	18 August 2005	COB ICOB
FSA 2004/89	Depolarisation Instrument	9 December 2004	9 December 2004	Glossary
FSA 2004/87	Integrated Prudential Sourcebook (Insurers and other Amendments) Instrument 2004	26 April 2005	26 April 2005	PRU
FSA 2004/87	Integrated Prudential Sourcebook (Insurers and other Amendments) Instrument 2004	14 December 2004	14 December 2004	PRU
FSA 2004/67	Distance Marketing Directive (Amendment) Instrument	19 October 2004	19 October 2004	COB
FSA 2004/59	Complaints Sourcebook (Mortgage and General Insurance Transitional Complaints) Instrument	17 August 2004	17 August 2004	DISP
FSA 2004/56	Financial Conglomerates and Other Financial Groups Instrument	30 December 2004	30 December 2004	PRU SUP
FSA 2004/56	Financial Conglomerates and Other Financial Groups Instrument	17 August 2004	17 August 2004	PRU SUP
FSA 2004/52	Listing Rules (Announcement Headlines) Instrument	7 July 2004	7 July 2004	UKLA
FSA 2004/48	Supervision Manual (Guidance Amendment No. 1) Instrument	17 August 2004	17 August 2004	SUP
FSA 2004/44	Long-Term Care Insurance Contracts Instrument	25 November 2004	25 November 2004	COB
FSA 2004/44	Long-Term Care Insurance Contracts Instrument	5 November 2004	5 November 2004	COB
FSA 2004/44	Long-Term Care Insurance Contracts Instrument	19 October 2004	19 October 2004	COB
FSA 2004/39	Distance Marketing Directive Instrument 2004	22 December 2004	22 December 2004	COB
FSA 2004/39	Distance Marketing Directive Instrument 2004	25 November 2004	25 November 2004	COB
FSA 2004/29	Supervision Manual (Reporting & Audit Requirements) Instrument 2004	29 September 2005	29 September 2005	SUP
FSA 2004/29	Supervision Manual (Reporting & Audit Requirements) Instrument 2004	18 March 2005	18 March 2005	SUP
FSA 2004/23	Conduct of Business Sourcebook (Amendment no 16) Instrument	19 October 2004	19 October 2004	COB
FSA 2004/11	Credit Unions Sourcebook (Amendment No 5 & Consequential Amendments to the Handbook) Instrument 2004	22 December 2004	22 December 2004	CRED
FSA 2004/09	Appointed Representatives Instrument	9 August 2004	9 August 2004	SUP
FSA 2004/08	Insurance: Conduct of Business sourcebook Instrument	19 October 2004	19 October 2004	GEN TC
FSA 2004/01	Insurance Mediation and Mortgage Mediation, Lending and Administration (Prudential Provisions) Instrument	8 December 2004	8 December 2004	PRU SUP Glossary COMP
FSA 2003/72	Mortgages: Conduct of Business sourcebook Instrument	19 October 2004	19 October 2004	GEN TC
FSA 2003/01	Statutory Status Disclosure Instrument	22 September 2004	22 September 2004	COB
FSA 2002/49	Electronic Commerce Directive Instrument	19 October 2004	19 October 2004	COB

Minor non-legal changes

The FCA and PRA have made minor changes to the FCA and PRA Handbooks listed in the links below. These changes do not alter the legal effect of the Handbook text; they have therefore been made without consultation and without the use of an instrument. They have not been detailed in a Handbook Notice.

The lists are compiled by year of amendment, and the current list is updated monthly. The lists show the details of each change and the date on which it was incorporated into the consolidated version of the Handbooks.

Those changes to the Handbooks which have legal effect will continue to be made by instrument.

2013 Non-legal changes for the FCA and PRA

2013 Non-legal changes

COLLG - 14 December 2012

2012 Non-legal changes

2011 Non-legal changes

2010 Non-legal changes

COLLG - 22 January 2009

2009 Non-legal changes

2008 Non-legal changes

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