Butterworths Financial Regulation Service

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Butterworths Financial Regulation 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.

Issue 132, December 2023

The following sections have been updated:

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
Division I, Section 10: Code of Conduct Commentary

Volume 2 Regulatory Processes and Redress
Division C: Supervision Requirements
Division F.1: Decision Procedure and Penalties Manual
Division O: Perimeter Guidance
Division P: Claims Management: Conduct of Business

Volume 3 Investment Firms and Collective Investment Schemes
Division B.1: Conduct of Business Sourcebook
Division D: Conduct of Business Commentary
Division L: Product Intervention and Product Governance Sourcebook
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 5 Markets*
Division A: Prudential Sourcebook for MiFID Investment Firms
Division G: Consumer Credit Sourcebook
Division M: Banking: Conduct of Business Sourcebook

Volume 7 Insurance Mediation and Mortgages*
Division A: Mortgages and Home Finance: Conduct of Business Sourcebook
Division C: Insurance: Conduct of Business Sourcebook

An updated Supplementary Index has been included with this issue.
For subscriptions and filing enquiries, see the customer queries information which is printed at the end of the filing instructions which follow this page
Once it has been circulated to all users of Butterworths Financial Regulation Service, this page may be filed at the front of Volume 1
* Available as a separate subscription.


Jacob Ghanty  Editor
 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
 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