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List of non-legal corrections and clarifications in the FCA Handbook
This document lists the minor corrections and clarifications that we have made to the Handbook, other than those made by Handbook Administration
instrument. These changes are regarded as having no legal effect. None of these changes represents a change in policy.
In this list, underlining indicates new text and striking through indicates deleted text.
Handbook reference
Text of change made Reason for change
Published date of change
SUP 10A
Annex 4
This annex consists only of one or more forms. Forms are to be found through the following
address: Supervision forms - Notes from direction in SUP 10A.12
Long Form A: Incoming EEA firms (December 2015)
Long Form A: UK firms (December 2015)
Short Form A: Incoming EEA Firms (April 2013)
Short Form A: UK and Overseas Firms (not incoming EEA) (April 2013)
Form A: Notes for completion (October 2014)
Hyperlinks
added 13.01.16
DTR 7.2.9
Amended in accordance with FCA 2016/6:
(2) …a document is publically available on the issuers's…
Administrative
change 28.01.16
Glossary term
‘relevant
authorised
person’
Amended in accordance with FCA 2015/67:
(A) The institution is an investment firm
Administrative
change 01.02.16
DISP 1
Annex 3
Amended in accordance with FCA 2015/25:
(6) Where the respondent proposes to waive the time limits in DISP 2.8.2 R or DISP 2.8.7 R and
appropriate wording for the respondent circumstances is not set out in (1) to (5), the respondent’s
Administrative
change 01.02.16
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Handbook reference
Text of change made Reason for change
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must adapt the appropriate wording as necessary
LR 7.2.1A
Amended in accordance with FCA 2014/33:
Premium Listing
Principle 2
A listed company must act with integrity towards the holders and
potential holders of its premium listed shares premium listed shares.
Administrative
change 01.03.16
SUP 6
Annex 5
This annex consists only of one or more forms. Forms are to be found through the following
address:
Supervision forms https://www.handbook.fca.org.uk/form
Hyperlinks
added 01.03.16
FEES 5
Annex 2
Amended in accordance with FOS 2010/2:
Annual Levy Payable in Relation to the Voluntary Jurisdiction for 2016/17
Administrative
change 10.03.16
Glossary term
‘Act’
Hyperlink to FSMA changed from
https://www.handbook.fca.org.uk/handbook/glossary/www.opsi.gov.uk/acts/acts2000/ukpga_2000
0008_en_1
to
http://www.legislation.gov.uk/ukpga/2000/8/contents
Hyperlink
changed 22.03.16
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Text of change made Reason for change
Published date of change
SUP 16.12.4
Amended in accordance with FCA 2016/25:
• retail investment activities
• advising on P2P agreements (except when carried on exclusively with or for professional
clients)
Administrative
change 31.03.16
APER 4.3.3
Amended in accordance with FCA 2013/21:
A factor to be taken into account in determining whether or not an approved person's conduct
complies with this Statement of Principle 3) is whether he, or his firm, has complied with the Code
of Market Conduct (MAR 1) or relevant market codes and exchange rules.
Administrative
change 31.03.16
FEES 3.2.7
Amended in accordance with FSA 2012/77:
(zo) In the case of persons in respect of which the FCA has given notice of its intention to take, or
appoint a competent person to take, any steps under CONRED 2.5.12R, either:
Administrative
change 01.04.16
EG 19.170 to
EG 19.183
All the provisions of EG were renumbered by FCA 2016/9 with effect from 1 March 2016. EG 19.170
to EG 19.183 were added by FCA 2015/33 with effect from 21 March 2016. EG 19.170 to EG 19.183
are therefore renumbered as set out in the following table.
OLD NUMBERING NEW NUMBERING
The Mortgage Credit Directive 19.30 The Mortgage Credit Directive
19.170 19.30.1
19.171 19.30.2
19.172 19.30.3
19.173 19.30.4
Administrative
change 22.04.16
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Text of change made Reason for change
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19.174
19.175
19.30.5
19.30.6
19.176 19.30.7
19.177 19.30.8
19.178 19.30.9
19.179 19.30.10
19.180 19.30.11
19.181 19.30.12
19.182 19.30.13
19.183 19.30.14
EG 19.29.29
to EG
19.29.38
EG 19.29.29 to EG 19.29.38 were added by FCA 2016/17 with effect from 1 April 2016. The
provision numbering is incorrect and the provisions are renumbered as set out in the following
table.
OLD NUMBERING NEW NUMBERING
The Small and Medium Sized
Business (Credit Information
Regulations)
19.31 The Small and Medium Sized
Business (Credit Information)
Regulations
19.29.29 19.31.1
19.29.30 19.31.2
19.29.31 19.31.3
19.29.32 19.31.4
19.29.33 19.31.5
19.29.34 19.31.6
19.29.35 19.31.7
19.29.36 19.31.8
Administrative
change 22.04.16
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19.29.37 19.31.9
19.29.38 19.31.10
Glossary term
‘collective
investment
scheme’
Amended in accordance with FSA 2001/7:
(a) any arrangements with respect to property of any description, including money, the purpose or
effect of which is to enable persons taking part in the arrangements (whether by becoming owners
of the property or any part of it or otherwise) to participate in or receive profits or income arising
from the acquisition, holding, management or disposal of the property or sums paid out of such
profits or income; and
(c)(b) which are not excluded by the Financial Services and Markets Act (Collective Investment
Schemes) Order 2001 (SI 2001/1062).
Administrative
change 26.04.16
DTR 4.1
Remove existing incorrect hyperlink (currently directs to ESMA library only) at:
Application
[Note: ESMA has also issued guidelines under article 16(3) of the ESMA Regulation on enforcement
of financial information http://www.esma.europa.eu/system/files/2014-807_-
_final_report_on_esma_guidelines_on_enforcement_of_financial_information.pdf]
Replace with:
https://www.esma.europa.eu/sites/default/files/library/2015/11/2014-807_-
_final_report_on_esma_guidelines_on_enforcement_of_financial_information.pdf
Handbook
Text Change
Request 28.04.16
COMP 6.1.4 Cross reference to COMP 3.2.1R(2) corrected. Hyperlink
added 05.05.16
EG 19.10.1 Amended in accordance with FCA 2014/12:
Administrative
change 06.05.16
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Text of change made Reason for change
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Where a breach has been committed, the FCA will liaise with other authorities, particularly the
Office of Fair Trading (the OFT) Competition and Markets Authority (the CMA), to determine which
authority is best placed to take enforcement action.
CONC 3.9
Amended in accordance with FCA 2015/49:
(1) unless it is a not-for-profit debt advice body or a person person who will provide such
services, operate a look alike website designed to attract customers seeking free, charitable,
not-for-profit or governmental or local governmental debt advice
Administrative
change 11.05.16
Glossary term
‘range’ Hyperlink added to glossary term ‘range of stakeholder products’
Hyperlink
added 11.05.16
SUP 16.12.4
(1) (2) (3) (4)
RAG
number
Regulated Activities Provisions containing:
applicable data items reporting
frequency/period
due date
…
RAG 6 safeguarding and
administration of
assets (without
arranging)
…
SUP 16.12.19 R
SUP 16.12.19A R
SUP 16.12.20 R SUP 16.12.21 R
Handbook
Text Change
Request 11.05.16
Glossary term
‘category B3
firm’
Amended in accordance with FSA 2009/62:
…assisting in the administration and performance of a contracts of insurances, …
Administrative
change 11.05.16
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TC Appendix
1.1
Designation R added.
Administrative
change
11.05.16
FEES 3.2.7
Amended in accordance with FSA 2012/77:
(zo) In the case of persons in respect of which the FCA has given notice of its intention to take, or
appoint a competent person to take, any steps under CONRED 2.5.12R, either:
Administrative
change 11.05.16
GEN Schedule
4
Schedule 4 Powers exercised
…
Sch 4.2G Powers to make rules
The following powers and related provisions in or under the Act have been exercised
by the FCA to make the rules in GEN:
…
Part 3 (Penalties and Fees of Schedule 1ZA (The Financial Conduct Authority)
(including as applied by article 25 (Application of provisions of the Act to the FCA
in respect of its supervision of consumer buy-to-let mortgage firms) of the MCD
Order), and by regulation 15A of the ADR Regulations
…
Handbook
Text Change
Request 11.05.16
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…
Sch 4.7G Power to direct, require or specify
The following powers and related provisions in the Act have been exercised by the
FCA to direct, require or specify:
…
Section 63ZA (Variation of senior manager’s approval at request of relevant
authorised person)
Section 63ZB (Variation of senior manager’s approval on initiative of regulator)
…
Glossary
AIFMD Delete link http://eur-
lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2011:174:0001:0073:EN:PDF
Insert: http://eur-lex.europa.eu/legal-
content/EN/TXT/?qid=1459782913431&uri=CELEX:32011L0061
Handbook
Text Change
Request 13.05.16
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AIFMD
level 2 regulation
Delete link http://eur-
lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2013:083:0001:0095:en:PDF
Insert:
http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32013R0231
SYSC
18.1.1AA
Amended in accordance with FCA 2015/46:
Firms are reminded that for the purpose of SYSC 18 (except for SYSC 18.3.9G) “firm” has the
specific meaning set out in paragraph (8) of that definition in the Glossary, namely:
"(a) a UK relevant authorised person except a small deposit taker; and
(b) a firm as referred to in Chapter 1.1 of the PRA Rulebook: Solvency II Firms: Whistleblowing
Instrument 2015.”
Administrative
change 17.05.16
LR 8.6.12 Designation changed to G for versions before 1 February 2015. Administrative
change 13.06.16
SYSC 1 Annex
1
Amended in accordance with FCA 2011/39:
SYSC 6.1.4-A G
Not
applicable
Not applicable Guidance
Administrative
change 15.06.16
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SYSC 6.1.6 Designation changed from R to G in accordance with FSA 2008/40. Administrative
change 15.06.16
Glossary term
‘insurance
sector’
Amended in accordance with FCA 2016/28:
a sector composed of one or more of the following entities:
(a) “Solvency II undertaking” as defined in the PRA Rulebook: Glossary;
Administrative
change 16.06.16
GENPRU 3.2.2
Amended in accordance with FCA 2016/28:
GENPRU 3.2 implements in part article 18 of the Financial Groups Directive, and article 127 of the
CRD and (in relation to BIPRU firms) article 143 of the BCD.
Administrative
change 16.06.16
COBS 9.4.10
Amended in accordance with FCA 2016/30:
When a firm is making a personal recommendation to a retail client about income withdrawals or
purchase of of short-term annuities or
Administrative
change 16.06.16
COBS 19.7.4
Amended in accordance with FCA 2016/30:
(2) If the retail client has not yet decided what to do, the firm should consider whether it is required
to signpost
Administrative
change 16.06.16
GENPRU 3
Annex Designated as G as per FSA 2006/40.
Administrative
change 16.06.16
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Text of change made Reason for change
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SYSC 5 Annex
1
Amended in accordance with FCA 2016/1:
SYSC 5 Annex 1 Examples of how the temporary UK role rule in SYSC 5.2.28A (the 1430-
day rule) works
Administrative
change
16.06.16
Glossary term
‘regulatory
information
service or
RIS’
Amended in accordance with FCA 2014/9:
(b) … of the TD implementing Directive; or
(c) a person to whom DTR TP 1.22 applies, for as long as DTR TP 1.22 remains in force.
Administrative
change
15.07.16
GENPRU 1.3.3
Amended in accordance with FSA 2006/40:
(2) In the case of an insurer, GENPRU 1.3.4 R implements the requirements of Articles 23.3(viii)
and 24.2(iv) of the Consolidated Life Directive.
Administrative
change 15.07.16
SUP 17.2.3A
Hyperlink url changed:
The regulated markets and MTFs that report transactions undertaken on their systems to
the FCA are listed on the FCA's website at: http://www.fca.org.uk/firms/systems-
reporting/transaction-reporting/liffe-feed www.fca.org.uk/markets/transaction-reporting/ice-
futures-europe-form.
Hyperlink
change 15.07.16
FEES 3.2.7
Amended in accordance with FCA 2013/51:
Administrative
change 25.07.16
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(d) Applicants for an authorisation order for, or
recognition under section 272 of the Act of, a collective
investment scheme
FEES 3
Annex 2R,
part 2
On or before the
application is made
(e) The management company of a scheme
making a notification under section 264 of the Act
FEES 3 Annex
2R, part 3
On or before the date
the application is made
GENPRU 2
Annex 5
Amended in accordance with FCA 2013/76:
Capital resources table for a BIPRU investment firm deducting illiquid assets
Administrative
change 25.07.16
GENPRU 2
Annex 6
Amended in accordance with FCA 2013/76:
Capital resources table for a BIPRU investment firm with a waiver from
consolidated supervision
Administrative
change 25.07.16
BIPRU 8.4.4
Amended in accordance with FSA 2006/41:
(2) the FCA is satisfied that each BIPRU firm in the UK consolidation group or non-EEA sub-
Administrative
change 25.07.16
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group will be able to meet its capital requirements using the calculation of capital
resources in GENPRU 2 Annex 6R (Capital resources table for a BIPRU firm with a waiver from
consolidated supervision); and
BIPRU 8.4.12
Amended in accordance with FSA 2006/41:
(1) the capital resources are the sum of capital resources calculated at stages D (Total tier one
capital before deductions) and I (Total tier two capital) of the version of the capital resources
table in GENPRU 2 Annex 4R (Capital resources table for a BIPRU firm deducting material
holdings) as adjusted in accordance with this rule;
Administrative
change 25.07.16
Glossary term
‘regulated
mortgage
contract’
Amended in accordance with FCA 2015/18:
(a)(i)(B) the obligation of the borrower to repay is secured by a mortgage on land in the EEA, at
least 40% of which is used, or is intended to be used, in the case of credit provided to an individual,
as or in connection with a dwelling; or (in the case of credit provided to a trustee who is not an
individual) as or in connection with a dwelling1 by an individual who is a beneficiary of the trust, or
by a related person.
Administrative
change 25.07.16
Glossary term
‘client money
rules’
Amended in accordance with FCA 2014/36:
(3) (in CASS 3, CASS 6, CASS 7, CASS 7A, COBS and FEES) CASS 7.10 to 7.19.
Administrative
change 28.07.16
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SYSC 5.2.30 Amended in accordance with FCA 2015/31:
(5) Functions requiring qualifications SYSC 5.2.39R
(6) Managers of certification employees SYSC 5.2.41R
(7) Material risk takers SYSC 5.2.42R
Administrative
change 03.08.16
SUP 13 Annex
7
This annex consists of only one or more forms. Forms can be completed online now by
visiting http://www.fca.org.uk/firms/systems-reporting/ona www.fca.org.uk/firms/connect
Handbook
Text Change
Request 05.08.16
PERG 4.5.11
(2) an appointed representative who is appointed to carry on a regulated activity specified in article
25A or article 53A of the Regulated Activities Order; introducers can check the status of
an appointed representative by visiting the FCA's register at www.fca.org.uk/firms/systems-
reporting/register www.fca.org.uk/firms/financial-services-register; the FCA would normally expect
introducers to request and receive confirmation of the regulated activities that the appointed
representative is appointed to carry on, prior to proceeding with an introduction; and
Handbook
Text Change
Request 05.08.16
MCOB 6A.5.1
(4) if not provided previously:
(b) (iii) confirmation that the customer can check the Financial Services Register on
the FCA's website www.fca.org.uk/firms/systems-
reporting/register www.fca.org.uk/firms/financial-services-register or by contacting the FCA on
0800 111 6768.
Handbook
Text Change
Request 05.08.16
MCOB 6.5.6
(4) if not provided previously: Handbook
Text Change 05.08.16
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(b) (iii) confirmation that the customer can check the Financial Services Register on
the FCA's website www.fca.org.uk/firms/systems-
reporting/register www.fca.org.uk/firms/financial-services-register or by contacting the FCA on
0800 111 6768.
Request
COLLG 1A.1.6
(3) The FCA maintains a public register of persons who have a permission to carry on a regulated
activity. The register also contains details of all regulated collective investment schemes and it can
be consulted on the FCA's website at www.fca.org.uk/firms/systems-reporting/register
www.fca.org.uk/firms/financial-services-register.
Handbook
Text Change
Request 05.08.16
PROF 7.1.8
The Financial Services Register can be accessed through the FCA website under the link
www.fca.org.uk/firms/systems-reporting/register www.fca.org.uk/firms/financial-services-register.
Handbook
Text Change
Request 05.08.16
PERG 8.17.13
Introducers can check whether a person is an authorised person or an appointed representative by
visiting the FCA's register at www.fca.org.uk/firms/systems-reporting/register
www.fca.org.uk/firms/financial-services-register. If an authorised person has permission to carry on
a regulated activity (which can be checked on the FCA's register) it is reasonable, in the FCA's view,
to conclude that the authorised person carries on that activity (but not a controlled activity which is
not a regulated activity).
Handbook
Text Change
Request 05.08.16
PERG 2.2.5
The process of applying for Part 4A permission is available on the FCA website How do I get
authorised: http://www.fca.org.uk/firms/about-authorisation/getting-authorised Apply for
authorisation: www.fca.org.uk/firms/authorisation/apply-authorisation. But a list of the activities
for which permission may be given is annexed to this chapter (see PERG 2 Annex 2 G).
Handbook
Text Change
Request 05.08.16
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PERG 5.2.3
If a person gets as far as question (8) and the answer to that question is "no", that person
requires authorisation and should refer to the FCA website “How do I get authorised”:
http://www.fca.org.uk/firms/about-authorisation/getting-authorised “Apply for authorisation”:
www.fca.org.uk/firms/authorisation/apply-authorisation for details of the application process.
Handbook
Text Change
Request 05.08.16
PERG 4.2.3
If a person gets as far as question (8) and the answer to that question is 'no', that person
requires authorisation and should refer to the FCA website “How do I get authorised”:
http://www.fca.org.uk/firms/about-authorisation/getting-authorised “Apply for authorisation”:
www.fca.org.uk/firms/authorisation/apply-authorisation for details of the application process.
Handbook
Text Change
Request 05.08.16
SUP 13A.1.2
(1) an EEA firm that wishes to carry on in the United Kingdom activities which are outside the scope
of its EEA right and the scope of a permission granted under Schedule 4 to the Act; in this case
the EEA firm requires a "top-up permission" under Part 4A of the Act (see the appropriate UK
regulator's website http://www.fca.org.uk/firms/about-authorisation/getting-
authorised www.fca.org.uk/firms/authorisation/apply-authorisation for the FCA and
www.bankofengland.co.uk/pra/Pages/authorisations/newfirm/default.aspx for the PRA); or
Handbook
Text Change
Request 05.08.16
SUP 13A.7.1
to carry on a particular regulated activity in the United Kingdom, it must seek Part 4A
permission from the appropriate UK regulator to do so (see the appropriate UK
regulator'swebsite: http://www.fca.org.uk/firms/about-authorisation/getting-
authorised www.fca.org.uk/firms/authorisation/apply-authorisation for the FCA and
www.bankofengland.co.uk/pra/Pages/authorisations/newfirm/default.aspx for the PRA).
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Text Change
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COLL 1A.1.6
(1) The FCA website page "How do I get authorised?"http://www.fca.org.uk/firms/about-
authorisation/getting-authorised “Apply for authorisation”
https://www.fca.org.uk/firms/authorisation/apply-authorisation gives guidance on how to apply to
the FCA for a Part 4A permission. This authorisation is different to the authorisation of an AUT or
an ICVC, as referred to in COLLG 1A.1.4 G and COLLG 1A.1.5 G respectively.
Handbook
Text Change
Request 05.08.16
SUP 10A
Annex 6
This annex consists of only one or more forms. Forms can be completed online now by
visiting: http://www.fca.org.uk/firms/about-authorisation www.fca.org.uk/firms/authorisation
Handbook
Text Change
Request 05.08.16
SUP 12 Annex
3
This annex consists of only one or more forms. Forms can be completed online now by
visiting: http://www.fca.org.uk/firms/about-authorisation www.fca.org.uk/firms/authorisation
Handbook
Text Change
Request 05.08.16
SUP 12 Annex
4
This annex consists of only one or more forms. Forms can be completed online now by
visiting: http://www.fca.org.uk/firms/about-authorisation www.fca.org.uk/firms/authorisation
Handbook
Text Change
Request 05.08.16
SUP 12 Annex
5
This annex consists of only one or more forms. Forms can be completed online now by
visiting: http://www.fca.org.uk/firms/about-authorisation www.fca.org.uk/firms/authorisation
Handbook
Text Change
Request 05.08.16
REC 6.2.3
Applicants for authorised person status should refer to the FCA website "How do I get authorised":
http://www.fca.org.uk/firms/about-authorisation “Authorisation”:
www.fca.org.uk/firms/authorisation.
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TC 2.1.33
The Retail Investment Adviser Competence Notification Form approved by the FCA for notifications
under TC 2.1.31 R may be found at the FCA's website www.fca.org.uk/firms/being-
regulated/approved/notification-of-competence www.fca.org.uk/firms/approved-persons.
Handbook
Text Change
Request 05.08.16
PERG 1.5.1
(8) guidance about the position under the Insurance Mediation Directive and the Regulated
Activities Order of property managing agents - www.fca.org.uk/firms/firm-
types/intermediaries/property-managing-agents www.fca.org.uk/firms/insurers-insurance-intermediaries;
Handbook
Text Change
Request 05.08.16
ICOBS 8.4.10
(3) In order to assist firms with their obligations under these rules the FCA has agreed to publish on
its website at http://www.fca.org.uk/consumers/financial-services-products/insurance/employers-
liability www.fca.org.uk/consumers/employers-liability-insurance a list of persons providing tracing
office facilities which have published the directors' certificate and independent assurance report referred to in ICOBS 8.4.9R (7).
Handbook
Text Change
Request 05.08.16
SYSC 17.3.4
The approved reporting mechanisms are listed on the FCA's website
at:http://www.fca.org.uk/firms/systems-reporting/transaction-reporting/approved-reporting-
mechanisms www.fca.org.uk/markets/transaction-reporting/approved-reporting-mechanisms.
Handbook
Text Change
Request 05.08.16
COLL 5A.1.3
(4) However, an authorised fund manager of such a scheme can choose to produce an equivalent
document to the key investor information document, which is referred to as a NURS-KII document,
by applying for a modification by consent (see http://www.fca.org.uk/firms/being-regulated/waiver/waiver-by-consent www.fca.org.uk/firms/waivers-modifications/consent).
Handbook
Text Change
Request 05.08.16
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SUP 13 Annex
1
This annex consists of only one or more forms. Forms can be completed online now by visiting:
http://www.bankofengland.co.uk/pra/Pages/authorisations/passporting/notifying.aspx for a PRA-
authorised person or http://www.fca.org.uk/firms/being-regulated/passporting/notification-
forms www.fca.org.uk/firms/passporting for an FCA-authorised person.
Handbook
Text Change
Request
05.08.16
SUP 11.3.7A
The controllers forms approved by the appropriate regulator may be found at the appropriate
regulator's website http://www.fca.org.uk/firms/being-regulated/change-in-control/section-178
www.fca.org.uk/firms/change-control
Handbook
Text Change
Request 05.08.16
SUP 17.2.3A
The regulated markets and MTFs that report transactions undertaken on their systems to
the FCA are listed on the FCA's website at: http://www.fca.org.uk/firms/systems-
reporting/transaction-reporting/ice-feed www.fca.org.uk/markets/transaction-reporting/ice-futures-
europe-form.
Handbook
Text Change
Request 05.08.16
LR 1.2.6
The Financial Conduct Authority
25 The North Colonnade
Canary Wharf
London, E14 5HS
Tel: 020 7066 8333
http://www.fca.org.uk/firms/markets/ukla
www.fca.org.uk/markets/ukla
Handbook
Text Change
Request
05.08.16
SYSC
19D.3.30
[Note: In addition to the guidance in this section on the Remuneration Principle 8 (Profit-based
measurement and risk adjustment), the FSA gave guidance on the application of the requirements
on risk adjustments. This guidance is available on the FCA website at
https://www.fca.org.uk/firms/being-regulated/remuneration-codes
www.fca.org.uk/firms/remuneration.]
Handbook
Text Change
Request 05.08.16
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Page 20 of 25 December 2016
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Text of change made Reason for change
Published date of change
SYSC 19C.3.3
[Note: In addition to the guidance in this section which relates to the BIPRU remuneration
principles proportionality rule, the FCA has published guidance on the operation of the BIPRU
remuneration principles proportionality rule. This guidance is available at
http://www.fca.org.uk/firms/markets/international-markets/remuneration-code
www.fca.org.uk/firms/remuneration.]
Handbook
Text Change
Request 05.08.16
SYSC 19C.3.6
[Note: The FCA has published guidance on the application of particular rules on
remuneration structures in relation to individuals who are BIPRU Remuneration Code staff for only
part of a given performance year. This guidance is available at
http://www.fca.org.uk/firms/markets/international-markets/remuneration-code
www.fca.org.uk/firms/remuneration.]
Handbook
Text Change
Request 05.08.16
SYSC
19C.3.34
[Note: The FCA has published guidance on the application of certain rules on remuneration
structures in relation to individuals who are BIPRU Remuneration Code staff for only part of a given
performance year. This guidance is available at http://www.fca.org.uk/firms/markets/international-
markets/remuneration-code www.fca.org.uk/firms/remuneration.]
Handbook
Text Change
Request 05.08.16
SYSC 18.2.2
(3) (b) The FCA will give priority to live concerns or matters of recent history, and will emphasise
that the worker's first port of call should ordinarily be the firm (see Frequently Asked Questions
on http://www.fca.org.uk/site-info/contact/whistleblowing/faq
www.fca.org.uk/firms/whistleblowing).
Handbook
Text Change
Request 05.08.16
FEES 4 Annex
1A
Amended in accordance with FCA 2015/35:
Principle Principal benchmark administrators
Administrative
change 25.08.16
Page 21
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Text of change made Reason for change
Published date of change
FEES 6 Annex
2
Designated a rule in accordance with FSA 2007/60.
Administrative
change 25.08.16
APER 4.4.3
Amended in accordance with FCA 2015/43:
In the opinion of the, FCA, conduct…
Administrative
change 25.08.16
APER 4.1.4
(12) destroying, or causing the destruction of, documents (including false documentation), or tapes
or their contents, relevant to misleading (or attempting to mislead) a client, his firm, or the FCA or
PRA.
Administrative
change 25.08.16
INSPRU 1.5.1
Amended in accordance with FCA 2015/16:
INSPRU 1.5 applies to an insurer except any insurer in (1) to (3):
(1)
(a) non-directive friendly societies; or
(b) Solvency II firms;
(2) none of the provisions, apart from INSPRU 1.5.33 R (payment of financial penalties), apply to
firms which qualify for authorisation under Schedule 4 of the Act;
(3) INSPRU 1.5.33 R (payment of financial penalties) does not apply to mutuals.
Administrative
change 20.09.16
Glossary term
‘limited
partnership
scheme’
In force date changed from 23 July 2099 to 1 July 2013 in accordance with FCA 2013/50. Administrative
change 03.10.16
FUND 10
Annex 1
This annex consists of one or more forms. Forms can be completed online by visiting
http://www.fca.org.uk/firms/markets/international-markets/aifmd/nppr
https://www.fca.org.uk/firms/nppr
Handbook
Text Change
Request 12.10.16
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Text of change made Reason for change
Published date of change
COBS 1.1
Hyperlink in the editorial note changed to:
https://www.esma.europa.eu/sites/default/files/library/2015/11/2012-387_en.pdf
Hyperlink
change 09.11.16
Glossary
Hyperlink removed from ‘qualifying investment’ in the following Glossary terms:
cash component
cash deposit ISA
insurance component
mini-ISA
maxi-ISA
stocks and shares component
Handbook
Text Change
Request 11.11.16
IPRU-INV
13.13.2
Amended in accordance with FCA 2015/57:
(A) (B) (C)
Type of firm Applicable percentage
of annual income
(1) Exempt CAD firm 5%
(2) Category B1 firm 10%
(3) Category B2 firm 10%
(4) Category B3 firm which is
permitted to carry on the
activity of managing
investments in respect of
portfolios containing only life
policies or to delegate such
activity to an investment firm
10%
(5) Category B3 firm not in (4) 5%
Administrative
change 16.11.16
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Handbook reference
Text of change made Reason for change
Published date of change
As below Hyperlinks changed as detailed below. Hyperlink
changes 17.11.16
Reference Old hyperlink New hyperlink
PERG 1.5.1G(10)
http://www.fca.org.uk/your-fca/documents/broker-arranged-premium-finance-plans
https://www.fca.org.uk/firms/general-insurance-brokers-commercial-customers/
MAR 7.2.13G
http://mifiddatabase.esma.europa.eu https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_mifid_sha
www.fca.org.uk delete
CONRED 2 Annex 14
http://www.apcims.co.uk/private-investor-indices/about-the-indices/ http://www.thewma.co.uk/private-investor-indices/
http://www.investmentfunds.org.uk/fund-sectors/sector-definitions/ http://www.theinvestmentassociation.org/fund-sectors/sector-definitions.html
Fin
ancia
l Crim
e G
uid
e p
art
1
x3 http://www.ico.gov.uk https://ico.org.uk/
at glossary
http://www.actionfraud.police.uk/home http://www.actionfraud.police.uk/
at glossary
http://www.fsa.gov.uk/consumerinformation/scamsandswindles/investment_scams/land_banking
https://www.fca.org.uk/consumers/land-banking-investment-schemes
at glossary
http://www.fsa.gov.uk/pages/About/What/financial_crime/money_laundering/3mlaaauthorised/index.shtml
http://www.fsa.gov.uk/pages/About/What/financial_crime/money_laundering/3mld/authorised/index.shtml
at glossary
www.fsa.gov.uk/consumerinformation/scamsandswindles/investment_scams/carbon_credit
https://www.fca.org.uk/consumers/carbon-credit-trading
at 3.5
http://www.fca.org.uk/firms/being-regulated/meeting-your-obligations/firm-guides
https://www.fca.org.uk/firms/financial-crime/money-laundering-terrorist-financing
at 3.7
http://www.wolfsberg-principles.com/pdf/
http://www.wolfsberg-principles.com/pdf/standards/Wolfsberg_NYCH_Statement_on_Payment_Message_Standards_(2007).pdf
at 4.4
http://www.fca.org.uk/about/what/protecting/financial-crime/fraud/mortgage
https://www.fca.org.uk/firms/fraud/report-mortgage-fraud-lenders
at 4.5
www.actionfraud.org.uk www.actionfraud.police.uk
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Reference Old hyperlink New hyperlink
at 4.5
http://www.homeoffice.gov.uk/publications/agencies-public-bodies/nfa/fightrging-fraud-tog/fighting-fraud-together
https://www.gov.uk/government/publications/nfa-fighting-fraud-together
at 4.5
http://www.cityoflondon.police.uk/CityPolice/Departments/ECD/Fraud/
https://www.cityoflondon.police.uk/advice-and-support/fraud-and-economic-crime/Pages/default.aspx
at 5.3
http://www.fca.org.uk/firms/being-regulated/meeting-your-obligations/firm-guides/information-gathering/data-security
https://www.fca.org.uk/firms/financial-crime/data-security
at 6.5
http://www.fca.org.uk/firms/being-regulated/meeting-your-obligations/firm-guides/systems/anti-bribery
https://www.fca.org.uk/firms/financial-crime/bribery-corruption
at 6.5, glossary
http://www.justice.gov.uk/downloads/guidance/making-reviewing-law/bribery-act-2010-guidance.pdf
http://webarchive.nationalarchives.gov.uk/20140102181807/https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/181762/bribery-act-2010-guidance.pdf
at 6.5
http://www.justice.gov.uk/downloads/guidance/making-reviewing-law/bribery-act-2010-quick-start
http://webarchive.nationalarchives.gov.uk/20140102181807/https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/181764/bribery-act-2010-quick-start-guide.pdf
at 7.5
http://www.hm-treasury.gov.uk/fin_sanctions_afu.htm https://www.gov.uk/government/organisations/office-of-financial-sanctions-implementation
at 7.5
http://www.fca.org.uk/static/fca/documents/fas-sanctions2.pdf https://www.fca.org.uk/firms/financial-crime/financial-sanctions
at 7.6
http://www.nationalcrimeagency.gov.uk/publications/46-guidelines-for-counter-proliferation-financing-reporting/file
http://www.nationalcrimeagency.gov.uk/publications/514-guidelines-for-counter-proliferation-financing-reporting-1/file
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Handbook reference
Text of change made Reason for change
Published date of change
ICOBS 1
Annex 1
Amended in accordance with FSA 2007/67:
The rules in this sourcebook within the Directive's scope are those regarding the appointment of
claims representatives and handling of claims by injured parties (see ICOBS 8.4 8.2).
Administrative
change 21.11.16
CASS 7A.2.3B
Amended in accordance with FCA 2014/36:
CASS 7A.2.7 R (Client money received after the failure of the firm) does not apply to the proceeds
under CASS 7A.2.3A R.
Administrative
change 23.11.16
IPRU-INV
13.1A.4
The editorial note is amended as follows:
[Note: Article 67(3) of MiFID and article 31(2) of the CRD (see also rule 13.1.4(2)(c) 13.1.12)]
Administrative
change 12.12.16
This document is no longer updated and is the complete record of non-legal changes for 2016.
If you have any comments on this list please email [email protected] .
