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 108, December 2019

UPDATE INFORMATION

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 H, Section 7.1 Fees Commentary
Division H, Section 7.1: Fees Commentary has been generally updated.
Division I, Section 3 Training and Competence Requirements
Division I, Section 3: Training and Competence Requirements has been updated to reflect amendments to the FCA Handbook.
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 I Dispute Resolution: Complaints
Division I: Dispute Resolution: Complaints has been updated to reflect amendments to the FCA Handbook.
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, 6, 10, 15 and 19 of Division D: New Conduct of Business Commentary have been generally updated including discussions of fund
investing in inherently illiquid assets, Consultation Paper 19/25: Pension transfer advice: contingent charging and other proposed changes and proposed new COBS 19.1B. Chapter 10 now includes discussion of COBS 10A.
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 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 and new chapters on CONC 5A-5D, 10, 12 and 15 have been added.
Division M Banking: Conduct of Business Sourcebook
Division M: Banking: Conduct of Business Sourcebook has been updated to reflect amendments to the FCA Handbook.
Volume 5 Markets†
Division E Prospectus Rules
Division E: Prospectus Rules has been updated to reflect amendments to the FCA Handbook.
Division L Energy Market Participants Commentary
Division L: Energy Market Participants Commentary has been generally updated.
Division O Regulated Covered Bonds Sourcebook
Division O: Regulated Covered Bonds Sourcebook has been updated to reflect amendments to
Volume 7 Insurance Mediation and Mortgages†
Division A Mortgages and Home Finance: Conduct of Business Sourcebook
Division A: Mortgages and Home Finance: Conduct of Business Sourcebook has been updated to reflect amendments to the FCA Handbook.
Division C Insurance: New Conduct of Business Sourcebook
Division C: Insurance: New Conduct of Business Sourcebook has been updated to reflect amendments to the FCA Handbook.
Division D Insurance: Conduct of Business Commentary
Division D: Insurance: Conduct of Business Commentary has been generally updated throughout.

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