| Block | Sourcebook or manual | Reference Code |
Glossary
terms used in the Handbook
|
the meaning of defined terms used in the Handbook
| Glossary |
High Level Standards
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 |
|
interpreting the Handbook, fees, approval by the FSA, emergencies, status disclosure, the FSA logo and insurance against fines
| GEN |
|
the fees provisions for funding the FSA, FOS and FSCS
| FEES |
Prudential Standards
The Prudential Standards Block sets out the prudential requirements for firms
|
|
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 Sourcebook for Banks, Building Societies, Insurers and Investment Firms
| GENPRU |
|
Prudential Sourcebook for Banks, Building Societies and Investment Firms
| BIPRU |
|
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 banks
| IPRU-BANK |
|
the prudential and notification requirements for building societies
| IPRU-BSOC |
|
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 |
Business Standards
the detailed requirements relating to firms' day-to-day business
|
|
|
|
|
|
|
|
the requirements applying to firms with investment business customers
| COB |
|
the conduct of business requirements applying to firms with effect from 1 November 2007
| COBS |
|
the requirements applying to firms with insurance business customers
| ICOB |
|
the non-investment insurance conduct of business requirements
| ICOBS |
|
the requirements applying to firms with mortgage business customers
| MCOB |
|
the requirements relating to holding client assets and client money
| CASS |
|
Code 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 |
|
the commitments and requirements concerning staff competence
| TC |
|
the requirements for anti-money laundering systems and controls
| ML |
Regulatory Processes
the manuals describing the operation of the FSA's authorisation, supervisory and disciplinary functions
|
|
guidance on whether authorisation is needed, how to apply for it and related issues
| AUTH |
|
supervisory provisions including those relating to auditors, waivers, individual guidance, notifications and reporting
| SUP |
|
details of the FSA's disciplinary and enforcement arrangements
| ENF |
|
a description of the FSA's procedures for taking statutory notice decisions, the FSA'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 FSA's decision-making processes
| DEC |
Redress
the processes for handling complaints and compensation
|
|
the detailed requirements for handling complaints and the Financial Ombudsman Service arrangements
| DISP |
|
the rules governing eligibility under, and levies for, the Financial Services Compensation Scheme
| COMP |
|
details of the scheme for handling complaints against the FSA
| COAF |
Specialist sourcebooks
requirements applying to individual business sectors
|
|
requirements for collective investment schemes
| CIS |
|
requirements for collective investment schemes (replaced CIS)
| COLL |
|
requirements applying to credit unions
| CRED |
|
requirements for firms providing financial services by electronic means
| ECO |
|
requirements for firms issuing electronic money
| ELM |
|
requirements applying to Lloyd's and members of Lloyd's
| LLD |
|
requirements applying to professional firms (whether exempt or authorised)
| PROF |
|
requirements applying to recognised bodies
| REC |
Listing, Prospectus and Disclosure
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 |
Handbook Guides
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 |
|
(See FREN instruments for various in force dates). Prudential requirements for insurers, groups, mortgage firms and insurance intermediaries
| FREN |
|
Guide for Oil Market Participants
| OMPS |
|
Guide for service companies
| SERV |
|
Guide to using the FSA Handbook: an Overview for small IFA firms
| SIFA |
|
Small Mortgage and Insurance Intermediaries: Part I - General Rules
| MIGI |
|
Small Mortgage and Insurance Intermediaries: Part II - Mortgage Intermediaries (additional rules)
| MOGI |
|
Small Mortgage and Insurance Intermediaries: Part III - Insurance Intermediaries (additional rules)
| GIGI |
Regulatory Guides
These are guides to regulatory topics
|
|
Building Societies Regulatory Guide
| BSOG |
|
The Collective Investment Scheme Information Guide
| COLLG |
|
The Enforcement Guide
| EG |
|
Perimeter Guidance
| PERG |
|
Responsibilities of Providers and Distributors for the Fair Treatment of Customers Guide
| RPPD |
|
Unfair Contract Terms Regulatory Guide
| UNFCOG |
