GENPRU MIPRU BCOBS. Glossary PR BIPRU ICOBS PRIN BSOCS INSPRU PROF CASS RCB CIS REC COAF SUP COBS LLD SYSC COLL TC COMP UPRU COND MAR MCOB
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1 HANDBOOK CHECKLIST SUMMARY May 2013 This checklist summary is a complete list of all the pages which should be in your handbook after insertion of 137. APER CONRED GENPRU MIPRU BCOBS CREDS Glossary PR BIPRU DEPP ICOBS PRIN BSOCS DISP INSPRU PROF CASS DTR IPRU(FSOC) RCB CIS ECO IPRU(INS) REC COAF ELM IPRU(INV) SUP COBS FEES LLD SYSC COLL FINMAR LR TC COMP FIT MAR UPRU COND GEN MCOB Please ensure that you have the latest pages by comparing the release number found at the bottom of each page with the release numbers overleaf. 1
2 High Level Standards Principles for Businesses (PRIN) /Date Chapter Senior Management Arrangements, Systems and Controls (SYSC) Chapter TP TP Fees manual (FEES) number Chapter Chapter 3 Annex Chapter Chapter Chapter 5 Annex Chapter Chapter TP Threshold Conditions (COND) Entire module All 135 Chapter 19 [] Appendix 1 [] Statements of Principle and Code of Practice for Approved Persons (APER) Training and Competence (TC) number App Annexes Derivations and Destinations Financial Stability and Market Confidence (FINMAR) FINMAR 3 The Fit and Proper test for Approved Persons (FIT) General provisions (GEN) number Ch 2: Annex 2 Chapter 3 Sch
3 Prudential Standards Interim Prudential sourcebook (PRU) Contents Chapters 1-8 Chapter 9 Moved to MIPRU TP Schedules 1-6 General Prudential sourcebook (GENPRU) Chapter TP Prudential sourcebook for Banks, Building Societies and Investment Firms (BIPRU) Chapter 1 Annex Chapter 1 Annex Chapter Chapter Chaper Chapter TP TP TP TP TP TP TP TP TP TP TP TP17 [] TP18 [] TP 19 [] TP TP TP TP TP TP TP TP TP TP Prudential Standards TP Prudential sourcebook for Insurers (INSPRU) Chapter TP [] Prudential sourcebook for Mortgage and Home Finance Firms, and Insurance Intermediaries (MIPRU) TP Prudential sourcebook for UCITS Firms (UPRU) Sch Interim Prudential sourcebook for banks (IPRU(BANK)) last in-force 31/10/2010 Interim Prudential sourcebook for building societies (IPRU(BSOC)) last in-force 30/09/2010 Interim Prudential sourcebook for friendly societies (IPRU(FSOC)) Annex A to Appendix 4 Guidance on Relationships with Controlled Bodies Annex Annex Annex 8 Interim Prudential sourcebook for insurers (IPRU(INS) Purpose Chapter 2
4 Chapter 4 Chapter 5 Chapter 6 Chapter 7 Appendix 2.1 Appendix 2.2 Appendix 2.3 Appendix 3.1 Appendix 3.2 Appendix 4.1 Appendix 4.2 Appendix 5.1 Appendix 6.1 Appendix 6.2 Interim Prudential sourcebook for investment businesses (IPRU(INV)) Chapter 7 Moved to UPRU Chapter 10 Appendices 10 Securities and Futures Firms 4 of 10
5 Business Standards Conduct of Business (COB) 31/10/2007 last date material was in force Conduct of Business (COBS) Chapter Chapter Chapter Sch Business Standards Money Laundering (ML) 30/08/2006 last date material was in force Insurance: Conduct of Business (ICOB) 05/01/2008 last date material was in force Insurance: Conduct of Business (ICOBS) Chapter Chapter Chapter 3 Annex Chapter 3 Annex Chapter Mortgage: Conduct of Business (MCOB) Chapter Chapter TP TP TP Annex 2 Annex 3 Annex 4 Banking: Conduct of Business (BCOBS) Chapter Chapter Client Assets (CASS) Chapter Chapter 2 Chapter 4 Chapter Market conduct (MAR) Chapter 3 5
6 Regulatory Processes Authorisation (AUTH) 30/12/2006 last date material was in force Supervision (SUP) Chapter Chapter Chapter Enforcement (ENF) 27/08/2007 last date material was in force Decision making (DEC) 27/08/2007 last date material was in force Decision Procedure and Penalties Manual (DEPP) Chapter 2 Annex Chapter 6 Annex Chapter Chapter 10 Annex 3 Chapter Chapter 11 Annex 4 Chapter 11 Annex 5 Chapter Chapter 16 Annex 7 Chapter 16 Annex 8 Chapter 16 8A Chapter 16 8B Chapter 16 App Chapter 17 Annex 2 Annex 3 Annex 4 Annex 5 Chapter 19 Chapter 20 Annex 2 Annex 3 Annex 4 6
7 Redress Dispute resolution: Complaints (DISP) Entire module All 137 Chapter 5 Appendix 2 Complaints against the FSA (COAF) 31/03/2013 last date material was in force Compensation (COMP) Chapter Chapter 13 TP Consumer redress schemes (CONRED) Chapter Chapter 2 Annex
8 Specialist sourcebooks Collective Investment Schemes (CIS) 11/02/2007 last date material was in force Building Societies Sourcebook (BSOCS) Sch Recognised Investment Exchanges and Recognised Clearing Houses (REC) Chapter Chapter Chapter 7 Collective Investment Schemes (COLL) Chapter Credit Unions (CREDS) Chapter 12 Chapter 16 Electronic Commerce Directive (ECO) 31/10/2007 last date material was in force Electronic money (ELM) 29/04/2012 last date material was in force Lloyd's (LLD) 30/12/2006 last date material was in force Professional firms (PROF) Chapter 6 Annex 2 Regulated Covered Bonds (RCB) 8
9 Listing, Prospectus and Disclosure Listing Rules (LR) Entire All 136 module Chapter Chapter App Prospectus Rules (PR) Entire All 136 module Chapter Disclosure Rules and Transparency Rules (DTR) Entire All 136 module Chapter 1A Chapter
10 Glossary Sections 1, 5 and A-Z 136 P19-P R7 R
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