"IMPORTANT NOTICE:
The following instrument was made by the FSA Board on 8/12/2011 but Annex C of the instrument has not been consolidated into the focus on handbooks:
2011/72 Credit Unions New Sourcebook (Consequential Amendments) Instrument 2011
All other annexes have been consolidated and the instrument is also available in the Instruments section of the website. We will update this notice as soon as Annex C of the instrument has been incorporated.
The following instrument was made by the FSA Board on 28/07/2011 but Part 2 of the instrument has not been consolidated into the focus on handbooks:
2011/44 Capital Resources Requirements for Personal Investment Firms (Amendment) Instrument 2011
Part 1 has been consolidated and the instrument is also available in the Instruments section of the website. We will update this notice as soon as Part 2 of the instrument has been incorporated."
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Click on the subject you are interested in. We will present you with key material extracted from the Handbook and the guides. The material may not be exhaustive - for example, it will not include all relevant application or transitional provisions. For further information on a subject, please see the full Handbook or use the search facility.
Focus on...
- Appointed representatives and tied agents
- Approved persons, training & competence
Individual approval under Part V of the Financial Services and Markets Act 2000, and the FSA's t&c requirements - Authorisation and related materials
- Client categorisation
- Controllers & close links
- Definitions
- Fees & levies
Fees payable to the FSA and levies payable to FOS and the FSCS - Financial crime, market abuse and money laundering
- Financial promotion
Rules on advertising, cold calling and other marketing - Financial ombudsman service
- Operational risk
- Outsourcing
- Perimeter guidance
Detailed guidance on the boundaries of the authorisation requirement - Passporting
Exercising the right to passport into or from the European Economic Area under the Single Market Directives - Permissions
Obtaining or varying permission to carry on regulated activities under Part IV of the Financial Services and Markets Act 2000 - Product disclosure
- Professional indemnity insurance
- Record keeping
- Reporting and notifications to the FSA
- Senior management arrangements
- Suitable advice
- Waivers
How to get a waiver and guidance on specific types of waivers