UK · FCA Handbook sourcebook

SUPSUP Supervision

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Only the provisions of SUP that are linked to MiFID II or MiFIR material are listed here. The full sourcebook is on the FCA Handbook site.

Linked provisions

SUP 3.10.7R · Client assets report: timing of submission
SUP Supervision · in force from 3 Jan 2018
SUP 6.3.42G · Commencing new regulated activities
SUP Supervision · in force from 3 Jun 2025
SUP 6.4.22G · When will the relevant regulator grant an application for cancellation of permission?
SUP Supervision · in force from 23 Oct 2025
SUP 6 Annex 4.2AG
SUP Supervision · in force from 23 Oct 2025
SUP 10C.6.1R · Compliance oversight function (SMF16)
SUP Supervision · in force from 23 Oct 2025
SUP 12.4.4HR · Appointment of tied agents, MiFID optional exemption appointed representatives and structured deposit appointed representatives
SUP Supervision · in force from 8 Dec 2022
SUP 12.4.11R · Appointment of an FCA registered tied agent
SUP Supervision · in force from 8 Dec 2022
SUP 12.5.6AR · Prohibition of multiple principals for certain activities
SUP Supervision · in force from 3 Jan 2018
SUP 12.5.8R · Required contract terms for FCA registered tied agents
SUP Supervision · in force from 1 Jan 2021
SUP 12.6.1AR · Monitoring: tied agents; appointed representatives carrying on MCD credit intermediation activity
SUP Supervision · in force from 1 Jan 2021
SUP 12.6.13R · Continuing obligations of firms with tied agents
SUP Supervision · in force from 3 Jan 2018
SUP 12.6.14R · Continuing obligations of firms with tied agents
SUP Supervision · in force from 3 Jan 2018
SUP 17A.1.1R
SUP Supervision · in force from 3 Jul 2017
SUP 17A.1.2G
SUP Supervision · in force from 3 Jul 2017

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