Legislation and guidance for licenceholders
Legislation and guidance for licenceholders
The following links will take you to the legislation and guidance that is relevant to all licenceholders
Key documents may be found in the following handbooks, which are produced to assist licenceholders to understand and meet regulatory requirements:
- Class 1 - Deposit taking handbook
- Class 2 - Investment Business handbook
- Class 3 - Services to Collective Investment Schemes handbook
- Class 4 - Corporate Services handbook
- Class 5 - Trust Services handbook
- Class 7 - Management or Administration Services handbook
- Class 8 - Money Transmission Services handbook
Key documents contained in the handbooks are:
Legislation
- Financial Services Act 2008
- Regulated Activities Order 2009
- Financial Services (Exemptions) Regulations 2009
- Financial Services (Civil Penalties) Regulations 2008
- Financial Services (Appointment of a Manager) Order 2008
- Financial Services Rule Book
- Collective Investment Schemes Act 2008
- Collective Investment Schemes (Definition) Order 2008
Policy Statements
Guidance
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