FINANCIAL SERVICES HANDBOOKS
print catalogue
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
Price: £165
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 |
Price: £172
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
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
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
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
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
