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FSA HANDBOOK

SPECIALIST SOURCEBOOKS
THE REQUIREMENTS APPLYING TO INDIVIDUAL BUSINESS SECTORS

We offer subscriptions to the Handbook modules and sourcebooks – so you receive updates every month – or, alternatively, you can order a once-off copy of any module you require

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Price: £165
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Building Societies sourcebook
Guidance for building societies

Reference code

Title

BSOCS 1

Introduction

BSOCS 2

Lending

BSOCS 3

Treasury investments and liquidity risk management

BSOCS 4

Funding

BSOCS 5

Financial risk management

BSOCS 6

Business model diversification

BSOCS transchedule

Transitional Provisions and Schedules

Ref: BSOCS


Price: £172
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Collective Investment Schemes
The requirements for collective investment schemes

Reference code

Title

COLL 1

Introduction

COLL 2

Authorised fund applications

COLL 3

Constitution

COLL 4

Investor Relations

COLL 5

Investment and borrowing powers

COLL 6

Operating duties and responsibilities

COLL 7

Suspension of dealings and termination of authorised funds

COLL 8

Qualified investor schemes

COLL 9

Recognised schemes

COLL 10

Fees

COLL 11

Master-feeder arrangements under the UCITS Directive

COLL 12

Management company and product passports under the UCITS Directive

COLL Appendix

KII Regulation

COLL transchedule

Transitional Provisions and Schedules

Ref: COLL


Price: £169
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CREDIT UNIONS NEW SOURCEBOOK
The requirements applying to credit unions

Reference code

Title

CREDS 1

Introduction

CREDS 2

Senior management arrangements, systems and controls

CREDS 3

Investment and borrowing

CREDS 4

Shares and deposits

CREDS 5

Capital

CREDS 6

Liquidity

CREDS 7

Lending to members

CREDS 8

Supervision

CREDS 9

Complaints reporting rules for credit unions

CREDS 10

Application of other parts of the Handbook to Credit unions

CREDS App 1

Key Definitions

CREDS transchedule

Transitional Provisions and Schedules

Ref: CREDS


Price: £165
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Professional Firms
The requirements for applying to professional firms (whether exempt or authorised)

Reference code

Title

PROF 1

Professional firms

PROF 2

Status of exempt professional firm

PROF 2A

Recognised Auction Platforms

PROF 3

The FSA's duties and powers

PROF 4

Disclosure

PROF 5

Non-mainstream regulated activities

PROF 6

Fees

PROF 7

Insurance mediation activity

PROF transchedule

Transitional Provisions and Schedules

Ref: PROF


Price: £165
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Regulated Covered Bonds
The requirements relating to regulated covered bonds

Reference code

Title

RCB 1

Introduction

RCB 2

Applications for registration

RCB 3

Notifications

RCB 4

Enforcement powers

RCB 5

Fees

RCB 6

Warning and decision notices

RCB transchedule

Transitional Provisions and Schedules

Ref: RCB


Price: £167
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Recognised Investment Exchanges and Recognised Clearing Houses
The requirements applying to recognised bodies

Reference code

Title

REC 1

Introduction

REC 2

Recognition requirements

REC 2A

Recognised Auction Platforms

REC 3

Notification rules for UK recognised bodies

REC 4

Supervision

REC 5

Applications for Recognition (UK recognised bodies)

REC 6

Overseas Investment Exchanges and Overseas Clearing Houses

REC 6A

EEA market operators in the United Kingdom

REC 7

Fees

REC transchedule

Transitional Provisions and Schedules

Ref: REC