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FCA Handbook including Glossary: Including Listing, Disclosure and Prospectus Rules

FCA Handbook including Glossary: Including Listing, Disclosure and Prospectus Rules

FCA Handbook including Glossary: Including Listing, Disclosure and Prospectus Rules

Author: Financial Conduct Authority
Publisher: The Stationery Office (Subscriptions)
ISBN: 9780414045415
Jurisdiction: U.K. ? Disclaimer:
Countri(es) stated herein are used as reference only

HKD 50,845.90

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Description
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The Financial Services Authority (FSA) is a non-governmental body given statutory powers by the Financial Services and Markets Act 2000 to regulate the financial services industry. It sets standards with which the industry must comply, and gives guidance on those standards. These are set out in the FSA’s Handbook of Rules and Guidance.

The hardcopy of the FSA’s Handbook consists of 23 volumes, available as a complete set or as modules, containing all the standards imposed by the FSA. It is updated frequently, usually monthly, and this ensures that you have the latest information to hand.

Glossary;

* High Level Standards;

PRIN Principles for Businesses;

SYSC Senior Management Arrangements, Systems and Controls;

COND Threshold Conditions;

APER Statements of Principle and Code of Practice for Approved Persons;

FIT The Fit and Proper test for Approved Persons;

GEN General Provisions;

FEES Fees Manual;

* Prudential Standards;

IPRU-BANK Interim Prudential sourcebook for Banks;

IPRU-BSOC Interim Prudential sourcebook for Building Societies;

IPRU-FSOC Interim Prudential sourcebook for Friendly Societies;

IPRU-INS Interim Prudential sourcebook for Insurers;

IPRU-INV Interim Prudential sourcebook for Investment Businesses;

BIPRU Prudential Sourcebook;

GENPRU General Prudential Sourcebook;

INSPRU Prudential Sourcebook for Insurers;

URPU Prudential Sourcebook for UCITS Firms;

MIPRU Prudential Sourcebook for Mortgage and Home Finance Firms and Insurance Intermediatries;

* Business Standards;

COB Conduct of Business;

ICOB Insurance: Conduct of Business;

MCOB Mortgages and Home Finance: Conduct of Business;

CASS Client Assets;

MAR Market Conduct;

TC Training and Competence;

* Regulatory Processes;

SUP Supervision;

DCPP Decision Procedure and Penalties;

* Redress;

DISP Dispute Resolution: Complaints;

COMP Compensation;

COAF Complaints against the FSA;

* Specialist sourcebooks;

COLL New Collective Investment Schemes;

CRED Credit Unions;

ECO Electronic Commerce Directive;

ELM Electronic Money;

PROF Professional Firms;

REC Recognised Investment Exchanges and Recognised Clearing Houses;

* Listing, Prospectus and Disclosure;

LR Listing Rules

PR Prospectus Rules;

DR Disclosure and Transparency Rules

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