FCA CP · FCA
CP18/36: Brexit: Proposed changes to the Handbook and Binding Technical Standards - second consultation
Published
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Second consultation on Handbook and binding technical standards changes for a no-deal exit from the EU, covering the Handbook proposals other than the temporary permissions regime and the new credit rating and trade repository regimes. Closes 21 December 2018.
Written from the Regulation Tomorrow post (Norton Rose Fulbright) that links this paper, not from the paper itself.
Details
| Reference | CP18/36 |
|---|---|
| Issuer | FCA |
| Published | Date pending: it is added once checked on the FCA’s page |
Provisions it relates to
Not linked to a provision yet.
FCA Handbook
Handbook provisions the Handbook lists against this paper (only those linked to MiFID II or MiFIR material are shown).
- SYSC 4.2.1R General requirement
- SYSC 4.2.2R Composition of management
- SYSC 4.3A.7R Management body
- SYSC 7.1.21R Additional rules for CRR firms
- SYSC 10A.1.1R Application
- SYSC 18.6.1R Whistleblowing obligations under the MiFID regime
- SYSC 24.3.10G Dividing and sharing management functions between different people
- TC 4.1.3R
- GEN 1.2.2AR
- GEN 1.2.4G
- GEN 2.2.22AR Onshored Regulations and third country firms
- GEN 2.2.29R MiFID technical standards
- COBS 1.1.1AR Deposits (including structured deposits)
- COBS 1 Annex 1
- COBS 2.1.1R The client's best interests rule
- COBS 2.3A.6R Rules on inducements
- COBS 2.3A.13R Disclosure of payments or benefits received from, or paid to, third parties
- COBS 2.3A.19R Acceptable minor non-monetary benefits
- COBS 2.4.4R Reliance on other investment firms: MiFID and equivalent business
- COBS 3.2.1R General definition
- COBS 3.3.1AR
- COBS 3.3.1BR
- COBS 3.5.2R Per se professional clients
- COBS 3.5.5G Elective professional clients
- COBS 3.6.2R Per se eligible counterparties
- COBS 3.6.4R Elective eligible counterparties
- COBS 3.6.4AR Elective eligible counterparties
- COBS 3.6.4BR Elective eligible counterparties
- COBS 3.7.3AR
- COBS 4.3.1R
- COBS 4.5A.3R General requirements
- COBS 4.5A.7R Comparative information
- COBS 4.5A.8R Referring to tax
- COBS 4.5A.9R Consistent financial promotions
- COBS 4.5A.10R Past performance
- COBS 4.5A.12R Simulated past performance
- COBS 4.5A.14R Future performance
- COBS 4.5A.15G Future performance
- COBS 4.5A.16R Information that uses the name of the FCA or PRA
- COBS 4.7.-1G Application
- COBS 4.7.-1AR Direct offer financial promotions relating to MiFID, equivalent third country or optional exemption business
- COBS 6.1ZA.5R Information about a firm and its services: MiFID business
- COBS 6.1ZA.8R Information about a firm’s portfolio management service: MiFID business
- COBS 6.1ZA.9R Information concerning safeguarding of designated investments belonging to clients and client money: MiFID business
- COBS 6.1ZA.10AR Information concerning safeguarding of client money: insurance distribution
- COBS 6.1ZA.17R Timing of disclosure: MiFID business
- COBS 6.1ZA.19R Medium of disclosure: MiFID business
- COBS 6.1ZA.20R Keeping the client up to date: MiFID business
- COBS 6.2B.5G Introduction
- COBS 6.2B.7R Interpretation of the relevant rules: MiFID business
- COBS 6.2B.8G Interpretation of the relevant rules: MiFID business
- COBS 6.2B.9R Interpretation of the relevant rules: non-MiFID business
- COBS 6.2B.15R Requirements for firms providing focused independent advice
- COBS 6.2B.16G Requirements for firms providing focused independent advice
- COBS 6.2B.17G Sufficient range
- COBS 6.2B.18R Sufficient range
- COBS 6.2B.19G Sufficient range
- COBS 6.2B.22G Guidance on the independence standard
- COBS 6.2B.29R Requirements for firms providing both independent and restricted advice
- COBS 6.2B.32R Requirements for firms providing both independent and restricted advice
- COBS 6.2B.35R Disclosing the nature of advice provided
- COBS 6.2B.36R Disclosing the nature of advice provided
- COBS 8A.1.4R Providing a client agreement: retail and professional clients
- COBS 8A.1.5R General requirement for information to clients
- COBS 8A.1.7R General requirement for information to clients
- COBS 8A.1.10R Record keeping: client agreements
- COBS 9A.2.4R Assessing the extent of the information required: MiFID business
- COBS 9A.2.5R Professional clients: MiFID business
- COBS 9A.2.6R Obtaining information about knowledge and experience: MiFID business
- COBS 9A.2.7R Obtaining information about a client’s financial situation: MiFID business
- COBS 9A.2.8R Obtaining information about a client’s investment objectives: MiFID business
- COBS 9A.2.9R Reliability of information: MiFID business
- COBS 9A.2.10R Maintaining adequate and up-to-date information: MiFID business
- COBS 9A.2.11R Discouraging the provision of information: MiFID business
- COBS 9A.2.12R Reliance on information: MiFID business
- COBS 9A.2.13R Insufficient information: MiFID business
- COBS 9A.2.15R Identifying the subject of a suitability assessment: MiFID business
- COBS 9A.2.18R Switching: MiFID business
- COBS 9A.2.19R Adequate policies and procedures: MiFID business
- COBS 9A.2.20R Unsuitability: MiFID business
- COBS 9A.2.23R Automated or semi-automated systems: MiFID business
- COBS 9A.3.1R Explaining the reasons for assessing suitability: MiFID business
- COBS 9A.3.3R Providing a suitability report: MiFID business
- COBS 9A.3.8R Periodic assessments: MiFID business
- COBS 9A.3.9R Periodic assessments: MiFID business
- COBS 10A.2.3R Assessing a client’s knowledge and experience: MiFID business
- COBS 10A.2.4R Information regarding a client’s knowledge and experience: MiFID business
- COBS 10A.2.5R Discouraging the provision of information: MiFID business
- COBS 10A.2.6R Reliance on information: MiFID business
- COBS 10A.4.1R
- COBS 10A.4.2R Other non-complex financial instruments
- COBS 10A.7.2R Record keeping: MiFID business
- COBS 11.2A.1R
- COBS 11.2A.8R Best execution criteria
- COBS 11.2A.25R Execution policies
- COBS 11.2A.34R Duty of portfolio managers, receivers and transmitters to act in client’s best interest
- COBS 11.3.1R General principles
- COBS 11.3.1AR General principles
- COBS 11.3.2AR Carrying out client orders
- COBS 11.3.4AR Settlement of executed orders
- COBS 11.3.5AR Use of information relating to pending client orders
- COBS 11.3.7AR Aggregation and allocation of orders
- COBS 11.3.7BR Aggregation and allocation of orders
- COBS 11.3.8AR Partial execution of aggregated client orders
- COBS 11.3.9AR Aggregation and allocation of transactions for own account
- COBS 11.3.10AR Aggregation and allocation of transactions for own account
- COBS 11.3.11AR Aggregation and allocation of transactions for own account
- COBS 11.3.14G Transposition of client order handling provisions in the UCITS Implementing Directive
- COBS 11.4.3AR How client limit orders may be made public
- COBS 11.5A.1R
- COBS 11.5A.2R Recording initial orders received from clients
- COBS 11.5A.3R Record keeping in relation to transactions and order processing
- COBS 11.5A.4R Minimum details to be recorded in relation to client orders and decisions to deal
- COBS 11.5A.5R Minimum details to be recorded in relation to transactions and order processing
- COBS 11.7A.2R Application
- COBS 11.7A.5R Requirements relating to personal transactions
- COBS 11A.1.1R General application
- COBS 11A.1.2R Requirements to provide specific information to issuer clients
- COBS 11A.1.3R Requirements to identify underwriting and placing operations and to ensure that adequate controls are in place to manage conflicts of interest
- COBS 11A.1.4R Additional requirements: pricings of offerings in relation to the issuance of financial instruments
- COBS 11A.1.5R Further requirements concerning the provision of information
- COBS 11A.1.6R Further requirements concerning the provision of information
- COBS 11A.1.7R Further requirements concerning the provision of information
- COBS 11A.1.8R Further requirements in relation to lending on provision of credit in the context of underwriting or placement
- COBS 11A.1.9R Record keeping requirements in relation to underwriting or placing
- COBS 12.2.18R Non-independent research - identification
- COBS 12.2.19R Investment research – conflicts of interest
- COBS 12.2.21R Measures and arrangements required for investment research
- COBS 13.4.5G Exceptions
- COBS 13.5.2BG Projections: other situations
- COBS 13.5.3R Exceptions to the projection rules: projections for more than one product
- COBS 13.5.4G Exceptions to the projection rules: projections for more than one product
- COBS 14.3A.5R Providing a description of the nature and risks of financial instruments
- COBS 14.3A.7R Timing of disclosure
- COBS 14.3A.9R Medium of disclosure
- COBS 14.3A.10R Keeping the client up-to-date
- COBS 14 Annex 1
- COBS 16A.3.1R Execution of orders other than when undertaking portfolio management
- COBS 16A.4.1R Provision by a firm and contents: MiFID business
- COBS 16A.4.2G Provision by a firm and contents: MiFID business
- COBS 16A.5.1R
- COBS 18.8A.2R Interpretation and general modifications
- COBS 18.8A.15R Modification of best execution rules
- COBS 18.8A.16R Client order handling
- COBS Sch 1.3G
- MAR 5.3A.8R Measures to prevent disorderly markets
- MAR 5.3A.9R Direct electronic access
- MAR 5.3A.14R Flagging orders, tick sizes and clock synchronisation
- MAR 5.3A.16G Flagging orders, tick sizes and clock synchronisation
- MAR 5A.3.2R Executing orders
- MAR 5A.5.8R Measures to prevent disorderly markets
- MAR 5A.5.9R Direct electronic access
- MAR 5A.5.14R Flagging orders, tick sizes and clock synchronization
- MAR 5A.5.16G Flagging orders, tick sizes and clock synchronization
- MAR 7A.3.6R Notifications
- MAR 7A.4.4R Notifications
- MAR 9.1.1G Application
- MAR 9.2.1D Application form and notification form for members of the management body
- MAR 10.2.1G Establishing, applying and resetting position limits
- MAR 10.2.2D Application of position limits
- PROD 3.1.2R Proportionate application of rules
- PROD 3.2.36R Compliance reports
- PROD 3.3.3R Obtaining information from manufacturers
- PROD 3.3.25R Compliance reports
- SUP 12.4.11R Appointment of an FCA registered tied agent
- SUP 12.5.8R Required contract terms for FCA registered tied agents
- SUP 12.6.1AR Monitoring: tied agents; appointed representatives carrying on MCD credit intermediation activity
- DISP 1.1A.3G Application: Who? What?
- DISP 1.1A.5G Application: Who? What?
- DISP 1.1A.6R Application: Who? What?
- DISP 1.1A.7R Application: Where?
- DISP 1.1A.10R Consumer awareness
- DISP 1.1A.12R Complaints handling
- DISP 1.1A.13R Complaints handling
- DISP 1.1A.16R Complaints handling
- DISP 1.1A.17R Complaints handling
- DISP 1.1A.18R Complaints handling
- DISP 1.1A.23R Complaints resolved by close of the third business day
- DISP 1.1A.24R Complaints resolved by close of the third business day
- DISP 1.1A.25R Complaints resolved by close of the third business day
- DISP 1.1A.26R Complaints resolved by close of the third business day
- DISP 1.1A.27G Complaints resolved by close of the third business day
- DISP 1.1A.29R Complaints time limits
- DISP 1.1A.30R Complaints time limits
- DISP 1.1A.31R Complaints time limits
- DISP 1.1A.32G Complaints time limits
- DISP 1.1A.37R Complaints records
- DISP 1.1A.38R Complaints records
- DISP 1.1A.41G Complaints data publication
- DISP 1 Annex 2
- DISP 2.3.1AR Activities by firms
- DISP Sch 1.2G
- REC 2.5.1UK Schedule to the Recognition Requirements Regulations, paragraphs 3 – 3H
- REC 2.6.7UK
- REC 2.6.8UK
- REC 2.6.11AUK
- REC 2.6.11BUK
- REC 2.6.11CUK
- REC 2.6.18UK
- REC 2.6.18AUK
- REC 2.6.18BUK
- REC 2.6.18CUK
- REC 2.12.2AAUK Schedule to the Recognition Requirements Regulations, Paragraph 7A
- REC 2.12.2BUK
- REC 2.12.2DUK
- REC 2.12.2EUK
- REC 2.16A.1UK Schedule to the Recognition Requirements Regulations, Paragraph 9A-9H
- REC 3.4.4AR Purpose
- REC 3.24.1R
- REC 3.25.1R
- DTR 5.4.2R
- M2G 2.4.1G
- M2G 2 Annex 1
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