Butterworths Financial Regulations Service

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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 110, April 2020

UPDATE INFORMATION

Volume 1a General
Division A The Regulatory Structure in Operation
Division A: The Regulatory Structure in Operation has been generally updated.
Volume 1b General (including High Level Standards)
Division G General Provisions
Division G: General Provisions 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 1 Statements of Principle and Code of Practice for Approved Persons
Division I, Section 1: Statements of Principle and Code of Practice for Approved Persons has been updated to reflect amendments to the FCA Handbook.
Division I, Section 9 Code of Conduct
Division I, Section 9: Code of Conduct has been updated to reflect amendments to the FCA Handbook.

Volume 2 Regulatory Processes and Redress
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.

Volume 5 Markets
Division B Market Conduct Commentary
Division B: Market Conduct Commentary has been updated to include discussions of the amendment of the Market Abuse Regulation by the SME Growth Markets Regulation, the impact of the UK’s withdrawal from the EU and the result of the first enforcement action brought by the FCA for breach of the PDMR notification obligations.
Division C Listing Rules
Division C: Listing Rules has been updated to reflect amendments to the FCA Handbook.
Division D Listing Rules Commentary
Division D: Listing Rules Commentary has been generally updated.
Division F.1 Disclosure Guidance and Transparency Rules Sourcebook
Division F.1: Disclosure Guidance and Transparency Rules Sourcebook has been updated to reflect amendments to the FCA Handbook.
Division F.2 Disclosure Guidance and Transparency Rules Commentary
Division F.2: Disclosure Guidance and Transparency Rules Commentary has been updated, including a discussion of related party transactions.

Volume 6 Insurance, Lloyd's and Friendly Societies
Division B Prudential Regulation Authority Rulebook: Non-Solvency II Firms Commentary
Division B: Prudential Regulation Authority Rulebook: Non-Solvency II Firms Commentary has been substantially updated throughout.
Tables and Index
Updated Tables and Index have been included with this issue.

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