What's new and Notice board

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News


IMPORTANT NOTICE:

On 22 May 2014, the FCA Board passed the following instrument:
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:
This instrument will not be consolidated. When a decision is made, this notice will be updated.


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.



Useful tools


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

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Instruments


June Boards
By date and reference number
Reference NumberTitleFCA/PRA
PRA2014/21PRA Periodic Fees (2014/2015) and Other Fees Instrument 2014
[PRA]
FCA2014/44Alternative Investment Fund Managers Directive and Undertakings for Collective Investment in Transferable Securities Directive (Miscellaneous Amendments) Instrument 2014
[FCA]
FCA2014/43Collective Investment Schemes Sourcebook (Exchange Traded Funds) Instrument 2014
[FCA]
FCA2014/42Regulatory Reporting (Amendment No 14) Instrument 2014
[FCA]
FCA2014/41Supervision Manual (Performance and Data Reports) (Amendment) Instrument 2014
[FCA]
FCA2014/40Client Assets Sourcebook (Amendment No 6) Instrument 2014
[FCA]
FCA2014/39Fees (Consumer Credit No 3) Instrument 2014
[FCA]
FCA2014/38Periodic Fees (2014/2015) and Other Fees Instrument 2014
[FCA]
FCA2014/37Handbook Administration (No 34) Instrument 2014
[FCA]
PRA2014/20PRA Rulebook: Notifications Instrument 2014
[PRA]
PRA2014/19PRA Rulebook: Auditors Instrument 2014
[PRA]
PRA2014/18PRA Rulebook: Information Gathering Instrument 2014
[PRA]
PRA2014/17PRA Rulebook: Fundamental Rules Instrument 2014
[PRA]
PRA2014/16PRA Rulebook: Lloyd’s (Actuaries and Auditors) Instrument 2014
[PRA]
PRA2014/15PRA Rulebook: Use of Skilled Persons Instrument 2014
[PRA]
PRA2014/14PRA Rulebook: Permissions and Waivers Instrument 2014
[PRA]
PRA2014/13Handbook (Rulebook Consequentials No 1) Instrument 2014
[PRA]
FCA2014/36Client Assets Sourcebook (Amendment No 5) Instrument 2014
[FCA]
FCA2014/35Retail Distribution Review (Complaints Data) Instrument 2014
[FCA]
FOS2014/3Handbook Administration (No 34) Instrument 2014
[FCA]

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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.
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Handbook releases


Hardcopy Releases

Release 150 (Handbook text as at 6th May 2014 - 6th June 2014) is due to be dispatched by the end of June.

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.



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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


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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.


No changes have been made to the IPRU sourcebooks this month.

Details of changeFCA/PRA
SYSC 19B.1:  Application
[FCA]
SYSC 19C.1:  General application and purpose
FEES 3 Annex 1:  Authorisation fees payable
[FCA]
[PRA]
FEES 3 Annex 7:  Fees where changes are made to firms transaction reporting systems and the FCA is asked to check that these systems remain compatible with FCA systems
[FCA]
FEES 4.1:  Introduction
[FCA]
[PRA]
FEES 4 Annex 1A:  FCA Activity groups, tariff bases and valuation dates
[FCA]
FEES 4 Annex 2A:  FCA Fee rates and EEA/Treaty firm modifications for the period from 1 April 2014 to 31 March 2015
[FCA]
FEES 4 Annex 4:  Periodic fees in relation to collective investment schemes, AIFs marketed in the UK and small registered UK AIFMs payable for the period 1 April 2014 to 31 March 2015
[FCA]
FEES 4 Annex 5:  Periodic fees for designated professional bodies payable in relation to the period 1 April 2014 to 31 March 2015
[FCA]
FEES 4 Annex 6:  Periodic fees for recognised investment exchanges, and recognised auction platforms payable in relation to the period 1 April 2014 to 31 March 2015
[FCA]
FEES 4 Annex 7:  Periodic fees in relation to the Listing Rules for the period 1 April 2014 to 31 March 2015
[FCA]
FEES 4 Annex 8:  Periodic fees in relation to the Disclosure and Transparency Rules for the period 1 April 2014 to 31 March 2015
[FCA]
FEES 4 Annex 10:  Periodic fees for MTF operators payable in relation to the period 1 April 2014 to 31 March 2015
[FCA]
FEES 4 Annex 11:  Periodic fees in respect of payment services carried on by fee-paying payment service providers under the Payment Services Regulations and electronic money issuance by fee-paying electronic money issuers under the Electronic Money Regulations and issuance of regulated covered bonds by issuers in relation to the period 1 April 2014 to 31 March 2015
[FCA]
FEES 4 Annex 11A:  Definition of annual income for the purposes of calculating fees in fee blocks A.13, A.14, A.18, A.19 and B. Service Companies
[FCA]
FEES 4 Annex 11B:  Definition of annual income for the purposes of calculating fees in fee blocks CC1 and CC2
[FCA]
FEES 4 Annex 13:  Guidance on the calculation of tariffs set out in FEES 4 Annex 1AR Part 3
[FCA]
FEES 5 Annex 1:  Annual General Levy Payable in Relation to the Compulsory Jurisdiction for 2014/15
[FCA]
FEES 6.5:  Compensation costs
[FCA]
[PRA]
FEES 7 Annex 1:  CFEB levies for the period from 1 April 2014 to 31 March 2015
[FCA]
FEES 8.1:  Consumer Credit permissions
[FCA]
FEES App 1 Annex 1:  Periodic fees payable for the period 1 April 2014 to 31 March 2015
[FCA]
BIPRU 8.2:  Scope and basic consolidation requirements for UK consolidation groups
[FCA]
[PRA]
COBS 6.1:  Information about the firm and compensation information
[FCA]
COBS 16.4:  Statements of client designated investments or client money
[FCA]
CASS 1.2:  General application: who? what?
[FCA]
CASS 1.4:  Application: particular activities
[FCA]
CASS 3.1:  Application and Purpose
[FCA]
CASS 3.2:  Requirements
[FCA]
CASS 6.1:  Application
[FCA]
CASS 6.2:  Holding of client assets
[FCA]
CASS 6.3:  Depositing assets and arranging for assets to be deposited with third parties
[FCA]
CASS 6.4:  Use of safe custody assets
[FCA]
CASS 6.5:  Records, accounts and reconciliations
[FCA]
CASS 6.6:  [Not yet in force] Records, accounts and reconciliations
[FCA]
CASS 7.1:  Application and Purpose
[FCA]
CASS 7.2:  Treatment of client money
[FCA]
CASS 7.4:  Segregation of client money
[FCA]
CASS 7.5:  Transfer of client money to a third party
[FCA]
CASS 7.6:  Records, accounts and reconciliations
[FCA]
CASS 7.7:  Statutory trust
[FCA]
CASS 7.8:  Notification and acknowledgement of trust
[FCA]
CASS 7.10:  [Not yet in force] Application and purpose
[FCA]
CASS 7.11:  [Not yet in force] Treatment of client money
[FCA]
CASS 7.12:  [Not yet in force] Organisational requirements: client money
[FCA]
CASS 7.13:  [Not yet in force] Segregation of client money
[FCA]
CASS 7.14:  [Not yet in force] Client money held by a third party
[FCA]
CASS 7.15:  [Not yet in force] Records, accounts and reconciliations
[FCA]
CASS 7.16:  [Not yet in force] The standard methods of internal client money reconciliation
[FCA]
CASS 7.17:  [Not yet in force] Statutory trust
[FCA]
CASS 7.18:  [Not yet in force] Acknowledgment letters
[FCA]
CASS 7.19:  Clearing member client money sub-pools
[FCA]
CASS 7 Annex 2:  [Not yet in force] Client bank account acknowledgment letter template
[FCA]
CASS 7 Annex 3:  [Not yet in force] Client transaction account acknowledgment letter template
[FCA]
CASS 7 Annex 4:  [Not yet in force] Authorised central counterparty acknowledgment letter template
[FCA]
CASS 7 Annex 5:  [Not yet in force] Guidance notes for acknowledgement letters (CASS 7.8)
[FCA]
CASS 7 Annex 6:  Sub-pool disclosure document
[FCA]
CASS 7A.1:  Application and purpose
[FCA]
CASS 7A.2:  Primary pooling events
[FCA]
CASS 7A.3:  Secondary pooling events
[FCA]
CASS 8.2:  Definition of mandate
[FCA]
CASS 8.3:  Records and internal controls
[FCA]
CASS 9.1:  Application
[FCA]
CASS 9.4:  [Not yet in force] Information to clients concerning custody assets and client money
[FCA]
CASS 9.5:  [Not yet in force] Reporting to clients on request
[FCA]
CASS 10.1:  Application, purpose and general provisions
[FCA]
CASS 10.2:  Core content requirements
[FCA]
CASS 10.3:  Existing records forming part of the CASS resolution pack
[FCA]
CASS 12.1:  Application
CASS 12.2:  Treatment of client money
CASS TP 1:  Transitional Provisions
[FCA]
CASS Sch 1:  Record keeping requirements
[FCA]
CASS Sch 2:  Notification requirements
[FCA]
SUP 3.8:  Rights and duties of auditors
[FCA]
[PRA]
SUP 3.10:  Duties of auditors: notification and report on client assets
[FCA]
SUP 6.4:  Applications for cancellation of permission
[FCA]
[PRA]
SUP 6 Annex 4:  Additional guidance for a firm winding down (running off) its business
[FCA]
[PRA]
SUP 10A.14:  Changes to an FCA-approved person's details
SUP 12.3:  What responsibility does a firm have for its appointed representatives or EEA tied agent?
[FCA]
SUP 12.6:  Continuing obligations of firms with appointed representativesor EEA tied agents
[FCA]
SUP 13 Annex 8:  Passporting: AIFMD
[FCA]
SUP 13A.1:  Application and purpose
[FCA]
[PRA]
SUP 14.1:  Application and purpose
[FCA]
[PRA]
SUP 15.3:  General notification requirements
[FCA]
[PRA]
SUP 15 Annex 6:  Notifications by UK AIFMs
[FCA]
SUP 16.1:  Application
[FCA]
[PRA]
SUP 16.11:  Product Sales Data Reporting
[FCA]
SUP 16.12:  Integrated Regulatory Reporting
[FCA]
[PRA]
SUP 16.18:  AIFMD reporting
[FCA]
SUP 16 Annex 9R:  Annual questionnaire for authorised professional firms
[FCA]
SUP 16 Annex 9AG:  [Not yet in force] Guidance notes for completion of annual questionnaire for authorised professional firms in SUP 16 Annex 9R
[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]
SUP 16 Annex 29:  Client Money and Asset Return (CMAR)
[FCA]
SUP 16 Annex 29A:  Guidance notes for the data item in SUP 16 Annex 29R
[FCA]
DISP 1.10:  Complaints reporting rules
[FCA]
DISP 1 Annex 1C:  Illustration of the online reporting requirements, referred to in DISP 1.10.2AR
[FCA]
DISP 2.5:  To which activities does the Voluntary Jurisdiction apply?
[FCA]
DISP 2 Annex 1:  Regulated activities for the Voluntary Jurisdiction at 1 April 2014
[FCA]
COLL 4.2:  Pre-sale notifications
[FCA]
COLL 4.5:  Reports and accounts
[FCA]
COLL 4.7:  Key investor information and marketing communications
[FCA]
COLL 5.2:  General investment powers and limits for UCITS schemes
[FCA]
COLL 5.3:  Derivative exposure
[FCA]
COLL 5.4 :  Stock lending
[FCA]
COLL 6.9 :  Independence, names and UCITS business restrictions
[FCA]
COLL 6.12:  Risk management policy and risk measurement
[FCA]
CONC 2.5:  Conduct of business: credit broking
CONC 2.7:  Distance marketing
CONC 2.10:  Mental capacity guidance
CONC 2 Annex 1:  Distance marketing information
CONC 2 Annex 2:  Abbreviated distance marketing information
CONC 3.1:  Application
CONC 3.3:  The clear fair and not misleading rule and general requirements
CONC 3.4:  Risk warning for high-cost short-term credit
CONC 3.5:  Financial promotions about credit agreements not secured on land
CONC 3.6:  Financial promotions about credit agreements secured on land
CONC 3.7:  Financial promotions and communications: credit brokers
CONC 3.10:  Financial promotions not in writing
CONC 4.1:  Content of quotations
CONC 4.2:  Pre-contract disclosure and adequate explanations
CONC 6.8:  Post contract business practices credit brokers
CONC 7.3:  Treatment of customers in default or arrears (including repossessions): lenders, owners and debt collectors
CONC 8.3:  Pre contract information and advice requirements
CONC 10.2:  Prudential resources requirements
CONC 12.1:  Application and purpose
[FCA]
CONC 13.1:  Application
CONC 15.1:  Application
CONC App 1.4:  Exemption for high net worth borrowers and hirers and exemption relating to businesses
[FCA]
CONC Sch 1:  Record keeping requirements
[FCA]
FUND 3.2:  Investor information
FUND 3.3:  Annual report of an AIF
FUND 3.4:  Reporting obligations to the FCA
FUND 3.7:  Risk management
FUND 3.9:  Valuation
FUND 3.10:  Delegation
FUND 3.11:  Depositaries
FUND 3.12:  Marketing in the home Member State of the AIFM
FUND 3 Annex 1:  Notification of intention to market at AIF in the United Kingdom
FUND 3 Annex 2:  Notice of AIFM delegation
FUND 10.5:  National private placement
FUND App 1.1:  Section title
FUND TP 1:  Transitional Provisions
[FCA]





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Changes to guides made by instruments this month

Amendments to guides this month:





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Changes to Handbook text becoming effective this month

There are no changes to the IPRU sourcebooks coming into force between 7th June - 6th July 2014.
Section amended Reason for change Effective date FCA/PRA
SYSC 1 Annex 1 FCA 2013/75
PRA 2013/32
1 July 2014
[FCA]
[PRA]
SYSC 4.3A FCA 2013/75
PRA 2013/32
1 July 2014
[FCA]
[PRA]
SYSC 19B.1 FCA 2014/44 1 July 2014
[FCA]
SYSC 19C.1 FCA 2014/44 1 July 2014
[FCA]
FEES 3 Annex 1 FCA 2014/37 1 July 2014
[FCA]
FEES 3 Annex 7 FCA 2014/37 1 July 2014
[FCA]
FEES 3 Annex 9 PRA 2014/21 2 July 2014
[PRA]
FEES 4.1 FCA 2014/38 1 July 2014
[FCA]
FEES 4.4 PRA 2014/21 2 July 2014
[FCA]
FEES 4 Annex 1A FCA 2014/38 1 July 2014
[FCA]
FEES 4 Annex 1A FCA 2014/38 1 July 2014
[FCA]
FEES 4 Annex 2A FCA 2014/38 1 July 2014
[FCA]
FEES 4 Annex 2B PRA 2014/21 2 July 2014
[FCA]
FEES 4 Annex 4 FCA 2014/38 1 July 2014
[FCA]
FEES 4 Annex 5 FCA 2014/38 1 July 2014
[FCA]
FEES 4 Annex 6 FCA 2014/38 1 July 2014
[FCA]
FEES 4 Annex 7 FCA 2014/38 1 July 2014
[FCA]
FEES 4 Annex 8 FCA 2014/38 1 July 2014
[FCA]
FEES 4 Annex 10 FCA 2014/38 1 July 2014
[FCA]
FEES 4 Annex 11 FCA 2014/38 1 July 2014
[FCA]
FEES 4 Annex 11A FCA 2014/38 1 July 2014
[FCA]
FEES 4 Annex 11B FCA 2014/38 1 July 2014
[FCA]
FEES 4 Annex 13 FCA 2014/38 1 July 2014
[FCA]
FEES 5 Annex 1 FCA 2014/38 1 July 2014
[FCA]
FEES 6.5 FCA 2014/37
PRA 2014/21
1 July 2014
2 July 2014
[FCA]
[PRA]
FEES 7 Annex 1 FCA 2014/38 1 July 2014
[FCA]
FEES 8.1 FCA 2014/39 27 June 2014
[FCA]
FEES App 1 Annex 1 FCA 2014/38 1 July 2014
[FCA]
BIPRU 8.2 FCA 2014/37 1 July 2014
[FCA]
CASS 7.1 FCA 2014/40 1 July 2014
[FCA]
CASS 7.4 FCA 2014/40 1 July 2014
[FCA]
SUP 3.8 FCA 2014/37 1 July 2014
[FCA]
SUP 10A.14 FCA 2014/35 9 June 2014
[FCA]
SUP 12.3 FCA 2014/37 1 July 2014
[FCA]
SUP 13A.1 FCA 2014/44 1 July 2014
[FCA]
SUP 14.1 FCA 2014/44 1 July 2014
[FCA]
SUP 15.3 FCA 2014/44 1 July 2014
[FCA]
SUP 15 Annex 6 FCA 2014/44 1 July 2014
[FCA]
SUP 16.12 FCA 2013/78
PRA 2013/31

FCA 2014/42
1 July 2014
[FCA]
[PRA]
SUP 16.18 FCA 2014/44 1 July 2014
[FCA]
SUP 16 Annex 18A FCA 2014/42 1 July 2014
[FCA]
SUP 16 Annex 18B FCA 2014/42 1 July 2014
[FCA]
DISP 1.10 FCA 2014/35 9 June 2014
[FCA]
DISP 1 Annex 1C FCA 2014/35 9 June 2014
[FCA]
DISP 2 Annex 1 FCA 2014/37 1 July 2014
[FCA]
COLL 4.2 FCA 2014/43 1 July 2014
[FCA]
COLL 4.5 FCA 2014/43 1 July 2014
[FCA]
COLL 4.7 FCA 2014/43 1 July 2014
[FCA]
COLL 5.2 FCA 2014/43 1 July 2014
[FCA]
COLL 5.3 FCA 2014/43 1 July 2014
[FCA]
COLL 5.4 FCA 2014/43 1 July 2014
[FCA]
COLL 6.9 FCA 2014/43 1 July 2014
[FCA]
CONC 2.5 FCA 2014/37 1 July 2014
[FCA]
CONC 2.7 FCA 2014/37 1 July 2014
[FCA]
CONC 2.10 FCA 2014/37 1 July 2014
[FCA]
CONC 2 Annex 1 FCA 2014/37 1 July 2014
[FCA]
CONC 2 Annex 2 FCA 2014/37 1 July 2014
[FCA]
CONC 3.1 FCA 2014/37 1 July 2014
[FCA]
CONC 3.3 FCA 2014/37 1 July 2014
[FCA]
CONC 3.4 FCA 2014/37 1 July 2014
[FCA]
CONC 3.5 FCA 2014/37 1 July 2014
[FCA]
CONC 3.6 FCA 2014/37 1 July 2014
[FCA]
CONC 3.7 FCA 2014/37 1 July 2014
[FCA]
CONC 3.10 FCA 2014/37 1 July 2014
[FCA]
CONC 4.1 FCA 2014/37 1 July 2014
[FCA]
CONC 4.2 FCA 2014/37 1 July 2014
[FCA]
CONC 6.8 FCA 2014/37 1 July 2014
[FCA]
CONC 7.3 FCA 2014/37 1 July 2014
[FCA]
CONC 8.3 FCA 2014/37 1 July 2014
[FCA]
CONC 10.2 FCA 2014/37 1 July 2014
[FCA]
CONC 12.1 FCA 2014/37 1 July 2014
[FCA]
CONC 13.1 FCA 2014/37 1 July 2014
[FCA]
CONC 15.1 FCA 2014/37 1 July 2014
[FCA]
CONC App 1.4 FCA 2014/37 1 July 2014
[FCA]
CONC Sch 1 FCA 2014/37 1 July 2014
[FCA]
FUND 3.2 FCA 2014/44 1 July 2014
[FCA]
FUND 3.3 FCA 2014/44 1 July 2014
[FCA]
FUND 3.4 FCA 2014/44 1 July 2014
[FCA]
FUND 3.7 FCA 2014/44 1 July 2014
[FCA]
FUND 3.9 FCA 2014/44 1 July 2014
[FCA]
FUND 3.10 FCA 2014/44 1 July 2014
[FCA]
FUND 3.11 FCA 2014/44 1 July 2014
[FCA]
FUND 3.12 FCA 2014/44 1 July 2014
[FCA]
FUND 3 Annex 1 FCA 2014/44 1 July 2014
[FCA]
FUND 3 Annex 2 FCA 2014/44 1 July 2014
[FCA]
FUND 10.5 FCA 2014/44 1 July 2014
[FCA]
FUND App 1.1 FCA 2014/44 1 July 2014
[FCA]
FUND TP 1 FCA 2014/37 1 July 2014
[FCA]



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Changes to guides becoming effective this month

There are changes to guides coming into force between 7th June - 6th July 2014
Section amended Reason for Change Effective Date FCA/PRA
FC
FCA 2014/34
12 June 2014
[FCA]
PERG 1.4
FCA 2014/37
1 July 2014
[FCA]
PERG 13
FCA 2014/37
1 July 2014
[FCA]

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Click here to show/hide table contentsList 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

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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.

2014 Non-legal changes for the FCA and PRA

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