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Financial Conduct Authority: Investment Funds Sourcebook (FUND) and Collective Investment Schemes Sourcebook (COLL): Sch 1

The FCA’s Investment Funds Sourcebook (FUND) and Collective Investment Schemes Sourcebook (COLL) set out requirements for managers and depositories of authorised and unauthorised investment funds. Record keeping requirements inlcude those...

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Financial Conduct Authority (FCA): Consumer Credit Sourcebook (CONC): Sch 1

The FCA’s Consumer Credit Sourcebook (CONC) applies to all credit-related regulated activities, including consumer loans, credit cards, consumer hire, credit broking, and debt-related services. Consumer credit is a highly regulated...

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Financial Conduct Authority (FCA): Banking: Conduct of Business Sourcebook (BCOBS): Sch 1

The FCA’s Banking: Conduct of Business Sourcebook (BCOBS) applies to firms when they accept deposits from banking customers and is predominantly aimed at protecting retail customers in respect of banking...

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Financial Conduct Authority (FCA): Mortgages and Home Finance: Conduct of Business Sourcebook (MCOB): Sch 1

The FCA’s Mortgages and Home Finance: Conduct of Business Sourcebook (MCOB) applies to firms that carry out lending and selling of a range of home finance products including mortgages, home...

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Financial Conduct Authority (FCA): Insurance: Conduct of business Sourcebook (ICOBS): Sch 1

The FCA’s Insurance: Conduct of Business Sourcebook (ICOBS) applies to firms that carry out insurance business that is not life insurance business, including effecting and carrying out contracts of insurance,...

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Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) Rules

Financial Institutions carrying on a range of regulated activities in the UK will be regulated by the PRA and FCA (for banks, insurers and certain large investment firms) and by...

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Markets in Financial Instruments Directive (MIFID II)

The Markets in Financial Instruments Directive (MiFID) is an EU law that harmonizes EU regulation of investment services. MiFID’s objectives are to increase competition and consumer protection in investment services....

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Financial Conduct Authority (FCA) Dispute Resolution: Complaints Sourcebook

The FCA’s Dispute Resolution: Complaints Sourcebook (DISP) outlines how complaints should be dealt with by firms, payment service providers, electronic money issuers, CBTL firms, designated credit reference agencies, designated finance...

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Financial Conduct Authority (FCA) Client Assets Sourcebook

The FCA’s Client Assets Sourcebook (CASS) provides rules for firms to follow whenever the firm holds or controls client money or safe custody assets. CASS helps ensure the safety of...

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Financial Conduct Authority (FCA) Market Abuse Regulation Sch 1

The FCA’s Market Conduct Sourcebook (MAR) provides guidance for firms and individuals to avoid engaging in market abuse and to determine whether their behavior would be considered suspicious to the...

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Financial Conduct Authority (FCA) Supervision Sourcebook Sch 1

The FCA’s Supervision Manual (SUP) addresses the day to day relationship between the FCA, authorized persons (firms), key individuals within them, their appointed representatives and tied agents, and those who...

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Financial Conduct Authority (FCA) Senior Management Arrangements, Systems and Controls Sourcebook (SYSC) Sch 1

The FCA’s Senior Management Arrangements, Systems and Controls Sourcebook (SYSC) was created to encourage firms to vest responsibility for effective and responsible organizations and to create a common platform for...

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FERC Advertising Records: 18 CFR 125.3

The Federal Energy Regulatory Commission (FERC) requires public utilities subject to FERC’s jurisdiction and holding licenses issued by FERC to retain “copies of advertisements by or for the company on...

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Regulation N - 12 CFR § 1014

Entities subject to Federal Trade Commission jurisdiction, such as mortgage brokers and lenders, must maintain ” opies of all materially different communications as well as . . . marketing materials...

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Bulletin 2015-02: Guidance on Managing Electronic Messages

Bulletin 2015-02 provides records management guidance for electronic messages including: text messages, chat/instant messages, messaging functionality on social media tools or applications, voice messages, and similar electronic messaging system forms....

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Smarsh handles information you submit to Smarsh in accordance with its Privacy Policy. By clicking "submit", you consent to Smarsh processing your information and storing it in accordance with the Privacy Policy and agree to receive communications from Smarsh and its third-party partners regarding products and services that may be of interest to you. You may withdraw your consent at any time by emailing privacy@smarsh.com.

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Tell us about yourself, and we’ll be in touch right away.

Smarsh handles information you submit to Smarsh in accordance with its Privacy Policy. By clicking "submit", you consent to Smarsh processing your information and storing it in accordance with the Privacy Policy and agree to receive communications from Smarsh and its third-party partners regarding products and services that may be of interest to you. You may withdraw your consent at any time by emailing privacy@smarsh.com.