Butterworths Financial Regulations Service

This content is unique to LexisNexis

Commentary

Butterworths Financial Regulations Service offers a comprehensive range of regulations and texts in the finance and financial services area and provides authoritative legal guidance and practical commentary. Note that the FSA Handbooks are available as a separate source and therefore these Divisions are not reproduced here.

SOURCE CURRENCY
Issue 107, October 2019

UPDATE INFORMATION

Volume 1b General (including High Level Standards)
Division H, Section 1 Principles for Businesses Requirements
Division H, Section 1: Principles for Businesses Requirements has been updated to reflect amendments to the FCA Handbook.
Division H, Section 5 Senior Management Arrangements, Systems and Controls
Division H, Section 5: Senior Management Arrangements, Systems and Controls has been updated to reflect amendments to the FCA Handbook.
Division H, Section 7 Fees Manual
Division H, Section 7: Fees Manual has been updated to reflect amendments to the FCA Handbook.
Division I, Section 2 Statements of Principle and Code of Practice for Approved Persons Commentary
Division I, Section 2: Statements of Principle and Code of Practice for Approved Persons Commentary has been updated with reference to Tinney v Financial Conduct Authority [2019] UKUT 227 (TCC), [2019] All ER (D) 163 (May).
Volume 2 Regulatory Processes and Redress
Division C Supervision Requirements
Division C: Supervision Requirements has been updated to reflect amendments to the FCA Handbook.
Division F.1 Decision Procedure and Penalties Manual
Division F.1: Decision Procedure and Penalties Manual has been updated to reflect amendments to the FCA Handbook.
Division I Dispute Resolution: Complaints
Division I: Dispute Resolution: Complaints has been updated to reflect amendments to the FCA Handbook.
Division J Complaints Commentary
Division J: Complaints Commentary has been generally updated including with regard to the ESMA/EBA Guidelines on complaints-handling for the securities (ESMA) and banking (EBA) sectors.
Volume 3 Investment Firms and Collective Investment Schemes+
Division B.1 New Conduct of Business Sourcebook
Division B.1: New Conduct of Business Sourcebook has been updated to reflect amendments to the FCA Handbook.
Division D New Conduct of Business Commentary
Chapters 4, 9, 13, 14, 16, 18 and 19 of Division D: New Conduct of Business Commentary have been generally updated including discussions of post-August 2020 annual statements, the new COBS 18.12: Electronic lending systems from 9 December 2019 and the FCA's Final Notice to Standard Life Assurance Ltd, 23 July 2019.
Division D.3 Collective Investment Schemes Requirements
Division D.3: Collective Investment Schemes Requirements has been updated to reflect amendments to the FCA Handbook.
Volume 4 Credit Institutions+
Division E Credit Unions Sourcebook
Division E: Credit Unions Sourcebook has been updated to reflect amendments to the FCA Handbook.
Division G Consumer Credit Sourcebook
Division G: Consumer Credit Sourcebook has been updated to reflect amendments to the FCA Handbook.
Division H Consumer Credit Sourcebook Commentary
Division H: Consumer Credit Sourcebook Commentary has been generally updated including with reference to the FCA's final report on the retained provisions and the introduction of CONC 2.11: Remuneration and Performance Management Policies, Procedures and Practices.
Division M Banking: Conduct of Business Sourcebook
Division M: Banking: Conduct of Business Sourcebook has been updated to reflect amendments to the FCA Handbook.

Contributors

 Adam Samuel Editor
 Albert Sampson Editor
Prof Andrew Haynes Editor
 Caroline Mylward Editor
 Cleon Catsambis Editor
 Farhaz Khan Editor
 Gareth Reed Editor
Prof George Walker Editor
 Jacob Ghanty Editor
 James Potts Editor
 John Casanova Editor
 Jonathan Denton Editor
 Jonathan Herbst Editor
Dr Karim Aldohni Editor
 Margaret Chamberlain Editor
 Mark Cardale Editor
 Oliver Assersohn Editor
 Peter Snowdon Editor
 Pollyanna Deane General editor
 Richard Everett Editor
 Roger Grenville Jones Editor
 Selina Haniff Editor
 Tim Aron Editor
 Tony Woodcock Editor
 William Long Editor