Financial Conduct Authority FCA
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Financial Conduct Authority (FCA) Handbook
What is it?
The FCA Handbook sets out the Financial Conduct Authority legislative and other provisions for firms and consumers who are seeking information on financial conduct rules and guidance to ensure compliance.
Who needs it?
Compliance Officers, Data Analysts, Lawyers, Compliance Managers, Compliance Directors, Law firms, Banks, Insurance Companies and Brokers, Financial Advisors and Consultants. Essentially, anyone who needs to ensure that they or their firm remain compliant with the latest Financial Services regulations.
To ensure you are compliant with all the latest Financial Services regulations, make sure you have a copy to hand. The Handbook is available in print and can be ordered via subscription.
It is possible to subscribe to the entire Handbook or to a selected number of modules. The hard-copy subscription includes monthly updates covering the changes in force on a particular date.*
The Complete Handbook, Including Glossary and Including Listing, Disclosure and Prospectus Rules.
High Level Standards
Includes: Principles For Business (PRIN), Senior Management Arrangements, Systems and Controls (SYSC), Threshold Conditions (COND), Statements of Principle and Codes of Practice for Approved Persons (APER), The Fit and Proper Test for Approved Persons (FIT), Financial Stability and Market Confidence Sourcebook (FINMAR), Training and Competence (TC), General Provisions (GEN), Fees Manual (FEES).
Includes: The Enforcement Guide (EG), The Perimeter Guidance Manual (PERG), The Collective Investment Scheme Information Guide (COLLG), The Unfair Contract Terms and Consumer Notices Regulatory Guide (UNFCOG), Financial Crime: A Guide for Firms (FC), The Responsibilities of Providers and Distributors for the Fair Treatment of Customers (RPPD), The Wind Down Planning Guide (WDPG).
Includes: Dispute Resolution: Complaints (DISP), Compensation (COMP), Consumer Redress Schemes Sourcebook (CONRED).