SOURCE CURRENCY Issue 135, June 2024
UPDATE INFORMATION The following sections have been updated:
Volume 1a General Division A: The Regulatory Structure in Operation Volume 1b General (including High Level Standards) Division F: Glossary Division H, Section 5: Senior Management Arrangements, Systems and Controls Division H, Section 7: Fees Manual Division I, Section 2: Statements of Principle and Code of Practice for Approved Persons Commentary Volume 2 Regulatory Processes and Redress Division C: Supervision Requirements Division F.1: Decision Procedure and Penalties Manual Division I: Dispute Resolution: Complaints Division J: Complaints Commentary Division O: Perimeter Guidance Volume 3 Investment Firms and Collective Investment Schemes* Division A: Interim Prudential Sourcebook for Investment Businesses Division B.1: Conduct of Business Sourcebook Division D: Conduct of Business Commentary Division D.3: Collective Investment Schemes Requirements Division N: Commentary on the Product Intervention and Product Governance Sourcebook and the Responsibilities of Providers and Distributors for the Fair Treatment of Customers Regulatory Guide Volume 4 Credit Institutions* Division A: Prudential Sourcebook for MiFID Investment Firms Division E: Credit Unions Sourcebook Volume 5 Markets* Division B: Market Conduct Commentary Division C: Listing Rules Division F: Prospectus Regulation Rules Commentary Division G: Recognised Investment Exchanges Volume 7 Insurance Mediation and Mortgages* Division A: Mortgages and Home Finance: Conduct of Business Sourcebook * Available as a separate subscription.