Butterworths Financial Regulation Service
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Commentary
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.
SOURCE CURRENCY
Issue 132, December 2023
UPDATE INFORMATION
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
Index
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.
SOURCE CURRENCY
Issue 132, December 2023
UPDATE INFORMATION
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
Index
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.
Contributors
| 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 |
