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Who does fca handbook apply to


The Financial Conduct Authority Handbook is a set of rules required to be followed by banks, insurers, investment businesses and other financial services in the United Kingdom under the Financial Services and Markets Act 2000.

Who do the FCA rules apply to?

All regulated firms must comply with our rules as set out in the FCA Handbook. The Handbook contains the complete record of FCA Legal Instruments made by our Board and presents changes in a single, consolidated view. All regulated firms must comply with our Handbook rules.

What does the FCA handbook cover?

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 to comply with FCA?

Do you need to be FCA authorised? Generally, if you are engaged in financial services in the UK then you will require FCA authorisation. Under the Financial Services and Markets Act 2000 (FSMA), a person carrying out a specified activity relating to a specified instrument requires FCA authorisation.

Which section of the FCA Handbook focuses on governance?

SYSC 19G. 3 Governance and oversight - FCA Handbook.