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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: £180
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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: £188
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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 13

Operation of feeder NURS

COLL Appendix

KII Regulation

COLL transchedule

Transitional Provisions and Schedules

Ref: COLL


Price: £185
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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: £465
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CONSUMER CREDIT SOURCEBOOK

Reference code

Title

CONC 1

Application and purpose and guidance on financial difficulties

CONC 2

Conduct of business standards: general

CONC 3

Financial promotions and communications with customers

CONC 4

Pre-contractual requirements

CONC 5

Responsible lending

CONC 6

Post contractual requirements

CONC 7

Arrears, default and recovery (including repossessions)

CONC 8

Debt advice

CONC 9

Credit reference agencies

CONC 10

Prudential rules for debt management firms

CONC 11

Cancellation

CONC 12

Requirements for firms with interim permission for credit-related regulated activities

CONC 13

Guidance on the duty to give information under sections 77, 78 and 79 of the Consumer Credit Act 1974

CONC 14

Requirement in relation to agents

CONC 15

Second charge lending

CONC App 1

Total charge for credit rules

CONC transchedule

Transitional Provisions and Schedules

Ref: CONC


Price: £165
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INVESTMENT FUNDS SOURCEBOOK

Reference code

Title

FUND 1

Introduction

FUND 2

Authorisation

FUND 3

Requirements for alternative investment fund managers

FUND 4

Common requirements for all retail funds

FUND 5

Additional requirements for retail alternative investment funds

FUND 6

Additional requirements for qualified investor alternative investment funds

FUND 7

Additional requirements for UCITS funds

FUND 8

Additional requirements for UCITS and AIF master-feeder arrangements

FUND 9

Suspension of dealings and termination of authorised funds

FUND 10

Operating on a cross-border basis

FUND 11

Recognised funds

FUND App 1

Written notice decision procedures under the AIFMD UK regulation

FUND transchedule

Transitional Provisions and Schedules

Ref: FUND


Price: £180
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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

This material is deleted and is not available

PROF 3

The FCA'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: £180
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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: £183
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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

REC 6A

EEA market operators in the United Kingdom

REC 7

Fees

REC transchedule

Transitional Provisions and Schedules

Ref: REC