Subjects:

Looseleaf Works, Banking and Finance

Contents:

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

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. It contains all the standards imposed by the FSA. It is updated frequently, usually monthly, and this ensures that you have the latest information to hand.