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Listing Rules: Disclosure, Transparency and Prospectus Rules - A4 format (LRA4) (Subscription)

Our Price: £423.00 
Subscription Type: Anniversary Renewal
Classification(s): Financial services law & regulation;
Product Code: HMSO87
Publisher Ref: 7009034
Frequency: IR Print Item(s) per year
Publisher: The Stationery Office
Binding / Product Type: Loose Leaf
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Listing Rules: Disclosure, Transparency and Prospectus Rules - A4 format (LRA4) is part of LISTING, PROSPECTUS & DISCLOSURE ~ BLOCK 7 of the FCA Handbook.

The Handbook sets out the FCA's legislative and other provisions made under powers given to them by the Financial Services and Markets Act 2000. The FCA Handbook publishes the provisions which apply to FCA-regulated firms. It is an essential manual for firms and consumers who are seeking information on financial conduct rules and guidance to ensure compliance.

The print subscription includes updates in the form of the Handbook Release. This contains all the pages to be inserted into the paper version of the Handbook and instructions as to which pages to remove/insert to update your hardcopy Handbook. These pages incorporate the changes in force on a particular date, as described in the relevant Handbook Notice.

To ensure you are compliant with all the latest financial services regulations, make sure you have a copy to hand. The Handbook is available in print and can be ordered via subscription.

The Handbook is divided into blocks and each block is subdivided into modules. A module may be either a 'sourcebook' (regulatory obligations which are binding) or a 'manual' (provisions relevant to the regulatory relationship which the regulators have with firms, such as on supervision, enforcement and levying fees).
> High Level Standards (Block 1) - Overarching requirements for all authorised persons (firms) and approved persons. It also contains general interpretative material. 
> Prudential Standards (Block 2) - Sets out the prudential requirements that will affect firms. 
> Business Standards (Block 3) - Sets out the requirements that will affect firms day to day. 
> Regulatory Processes (Block 4) - Modules describing the operation of the regulators' supervisory and disciplinary functions and containing requirements on firms relating to the supervisory function. 
> Redress (Block 5) - Processes for handling complaints and compensation. 
> Specialist Sourcebooks (Block 6) - Specialist modules, which show how the Handbook applies to certain sectors, such as collective investment schemes and credit unions. 
> Listing, Prospectus and Disclosure Rules (Block 7) - Sets out the requirements for issuers listed on, or seeking admission to, the Official List of the UKLA, rules that apply to a sponsor and a person applying for approval as a sponsor, along with the prospectus and disclosure document requirements. 

These subscriptions consist of a loose-leaf binder with updates.




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