FSA handbook meaning

ARCHIVED: This Practice Note is archived and is no longer maintained This tracker outlines the Financial Conduct Authority (FCA) consultation papers issued in 2023, together with any subsequent rules and guidance. For FCA consultation papers from other years, see: FCA consultation paper trackers. For Prudential Regulation Authority (PRA) papers from 2017 and Financial Services Authority (FSA) papers from 2008 to 2013, see: PRA consultation paper tracker [Archived] FSA consultation paper tracker [Archived] Regulation of capital markets CP23/33: Payments to data providers and forms for Data Reporting Services Providers, including Policy Statement for the framework for UK consolidated tape (CP23/15) The FCA has released consultation paper CP23/33. Responses are invited by 9 February 2024. Publication date: 20 December 2023. End of consultation: 9 February 2024. Policy Statement/Handbook Notice: Handbook Notice 117 (5 April 2024). CP23/32: Improving transparency for bond and derivatives markets The FCA has published consultation paper CP23/32, Improving...

This tracker outlines the consultation papers issued by the Financial Services Authority (FSA) from 2008–2013, listed in reverse date order, and includes links to the relevant FSA webpage and/or PDF versions of the papers. For details of Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) consultation papers, together with subsequent rules and guidance, see: • FCA consultation paper tracker-2021 [Archived] 2013 Publication date Consultation Paper (including FSA webpage if available) Description March 2013 - FSA webpage: CP13/9: Implementation of the Alternative Investment Fund Managers Directive Part 2; CP13/9: Follow-up consultation on draft rules and guidance for implementing the Alternative Investment Fund Managers Directive (AIFMD). March 2013 - FSA webpage: CP13/8: Publishing information about warning notices; CP13/8: Proposals on how the Financial Conduct Authority (FCA) would publish details about the subject-matter of a warning notice where it considers publication appropriate. March 2013 - FSA webpage: CP13/7: Consumer credit regulation-our proposed regime; CP13/7: Invites views on the proposed framework and rules for the new consumer...

This tracker outlines the consultation papers issued by the Financial Conduct Authority (FCA) in 2013, together with notice of any later rules and guidance published. For FCA consultation papers from different years, see: FCA consultation paper trackers. For Prudential Regulation Authority (PRA) and Financial Services Authority (FSA) consultation papers, see: PRA consultation paper tracker [Archived] FSA consultation paper tracker [Archived] Topic area: Consumer credit; Disclosure and transparency; Supervision; Funds CP13/18: Quarterly Consultation Paper No. 3 The FCA proposed to: make small changes associated with transferring consumer credit regulation from the Office of Fair Trading (OFT) to the FCA (chapter 2) bring in an administrative fee to recover costs arising from listed issuers’ late publication of periodic financial statements under the Disclosure and Transparency Rules (DTRs) (chapter 3) broaden the ability of authorised fund managers and others to communicate with unit-holders electronically, including via website-based communications (chapter 4) revise the process for handling a waiver application...

This Practice Note provides an overview of the contents and structure of the Financial Conduct Authority (FCA) Handbook. On 1 April 2013, the Financial Services Authority (FSA) Handbook was divided between the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA), creating two distinct handbooks: one for the PRA, setting out provisions made by the PRA that apply to PRA-authorised firms: the PRA Rulebook; and one for the FCA, containing rules, guidance and other provisions made by the FCA that apply to FCA-authorised firms: the FCA Handbook. Most provisions in the FSA Handbook were carried into the PRA's handbook (replaced by the PRA Rulebook on 29 August 2015), the FCA's handbook, or both, in line with each regulator's responsibilities and objectives, while other provisions were deleted. Although the FCA Handbook designates or adopts material formerly within the FSA Handbook, substantive amendments were made to reflect the FCA's role and powers, including the processes for applying for authorisation, passporting, controlled functions,...

Scope of this Practice Note This Practice Note explains how UK authorities gave effect to the second Electronic Money Directive (Directive 2009/110/EC) (2EMD) via secondary legislation—principally the Electronic Money Regulations 2011, SI 2011/99 (EMRs 2011)—together with updates to the Financial Services Authority’s rules and guidance (the FSA being the predecessor to the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA)). It also sets out an overview and draws out the key provisions of the EMRs 2011, and reviews the alterations made to the EMRs 2011 by the Payment Services Regulations 2017 (PSRs 2017) arising from amendments to the 2EMD under the recast Payment Services Directive (Directive 2015/2366/EU) (PSD2). In addition, it considers the effects that the UK’s decision to leave the EU has had on the UK’s e-money regulatory framework... Background to the second Electronic Money Directive The first Electronic Money Directive (Directive 2000/46/EC) (EMD) was brought into effect in the UK in April 2002 on a piecemeal basis, mainly through the Electronic Money (Miscellaneous...

Last updated July 2019 ARCHIVED — On 21 July 2019, the Prospectus Regulation Rules Instrument 2019 took effect, removing the Prospectus Rules and substituting them with the Prospectus Regulations Rules. For more, see: Prospectus Regulation Rules tracker Tracker overview This Prospectus Rules (PR) tracker outlines recent and anticipated legislative and regulatory moves, alongside the latest updates affecting the PRs and material on prospectus publication requirements, the approval process and what a prospectus must contain. It also brings together consultation papers, policy statements, practical guidance and notices issued by the Financial Conduct Authority (FCA) (the successor to the Financial Services Authority (FSA)). Recent and future developments (2011 onwards) 21/07/2019 — FCA — Prospectus Regulation Rules Instrument 2019 (the Instrument): The Instrument commenced, removing provisions in the PR sourcebook, which are now replaced by those set out in the Prospectus Regulations Rules 31/05/2019 — FCA — CP19/6: Changes to align the FCA Handbook with the EU Prospectus Regulation; PS19/12: Changes to align the FCA Handbook...