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.