The FCA Handbook

Question 1

FCA Handbook Structure

Answer 1

7 Blocks

Block 1 - High Level Standards

SYSC,PRIN

Block 2 - Prudential Standards

GENPRU

Block 3 - Business Standards

COBS

Block 4 - Regulatory Processes

Block 5 - RedDress (Compensation)

Block 6 - Specialist Sourcebooks

Block 7 - Listing Prospectus and Disclosure
LR + PRR+ DTR

Question 2

FCA Handbook Provisions

Answer 2

S138 FSMA 2000 legal effect to rules and guidance of regulators, set out in their handbooks

R - Rules (binding)

E - Evidential Provisions (non-binding) - records showing
compliance with rules

G - Guidance (non-binding)

UK - TEXT FROM UK Law (hyperlinks)