Rules
-
Anti-Money Laundering and Sanctions Rules and Guidance (AML) [VER06.310321]
- AML 1. Introduction
- AML 2. Overview And Purpose Of The AML Rulebook
- AML 3. Interpretation And Terminology
- AML 4. General Compliance Requirements
- AML 5. Applying A Risk-Based Approach To AML
- AML 6. Business Risk Assessment
- AML 7. Customer Risk Assessment
- AML 8. Customer Due Diligence
- AML 9. ANTI-MONEY LAUNDERING COMPLIANCE AND THIRD-PARTIES
- AML 10. Correspondent Banking, Wire Transfers, Anonymous Accounts And Audit
- AML 11. Sanctions And Other International Obligations
- AML 12. Money Laundering Reporting Officer
- AML 13. Anti-Money Laundering Training And Awareness
- AML 14. Suspicious Activity Reports
- AML 15. General Obligations
- AML 15. DNFBP Registration And Supervision
- AML 16. Non-Profit Organisations ("NPOs")
- AML APP 1 [DELETED]
- Islamic Finance Rules (IFR) [VER04.030220]
-
Prudential — Investment, Insurance Intermediation and Banking Rules (PRU) [VER10.250521]
- PRU 1 APPLICATION, INTERPRETATION AND CATEGORISATION
- PRU 2 GENERAL REQUIREMENTS
- PRU 3 CAPITAL AND LEVERAGE
- PRU 4 CREDIT RISK
- PRU 5 MARKET RISK
- PRU 6 OPERATIONAL RISK
- PRU 7 INTEREST RATE RISK IN THE NON-TRADING BOOK
- PRU 8 GROUP RISK
- PRU 9 LIQUIDITY RISK
- PRU 10 SUPERVISORY REVIEW AND EVALUATION PROCESSES
- PRU 11 DISCLOSURE REQUIREMENTS
- PRU APP1 CATEGORIES OF AUTHORISED PERSONS
- PRU APP2 GENERAL REQUIREMENTS
- PRU APP3 CAPITAL
- PRU APP4 CREDIT RISK
- PRU APP5 CREDIT VALUATION ADJUSTMENT (CVA) RISK
- PRU APP6 MARKET RISK
- PRU APP7 CALCULATING THE OPERATIONAL RISK CAPITAL REQUIREMENT
- PRU APP8 NOT USED
- PRU APP9 NOT USED
- PRU APP10 LIQUIDITY
- PRU APP11 SUPERVISORY REVIEW AND EVALUATION PROCESSES
- PRU APP12 PUBLIC DISCLOSURE REQUIREMENTS
- Fees Rules (FEES) [VER12.250521]
- Glossary (GLO) [VER12.310321]
-
General Rulebook (GEN) [VER05.030220]
- GEN 1. INTRODUCTION
- GEN 2. CORE PRINCIPLES
- GEN 3. MANAGEMENT, SYSTEMS AND CONTROLS
- GEN 4. GENERAL PROVISIONS
- GEN 5. AUTHORISATION AND THRESHOLD CONDITIONS
- GEN 6. ACCOUNTING AND AUDITING
- GEN 7. COMPLAINTS HANDLING AND DISPUTE RESOLUTION
- GEN 8. SUPERVISION
- GEN 9. REPRESENTATIVES OFFICES
- GEN APP 1 BEST PRACTICE RELATING TO CORPORATE GOVERNANCE AND REMUNERATION
- GEN APP 2 TRADE REPOSITORY
- Prudential — Insurance Business (PIN) [VER03.030220]
-
Conduct of Business Rulebook (COBS) [VER10.310321]
- COBS 1. INTRODUCTION
- COBS 2. CLIENT CLASSIFICATION
- COBS 3. CORE RULES — INVESTMENT BUSINESS, ACCEPTING DEPOSITS, PROVIDING CREDIT AND PROVIDING TRUST SERVICES
- COBS 4. ADDITIONAL RULES — ACCEPTING DEPOSITS AND PROVIDING CREDIT
- COBS 5. ADDITIONAL RULES — PROVIDING TRUST SERVICES
- COBS 6. ADDITIONAL RULES — INVESTMENT BUSINESS
- COBS 7 CORE RULES — INSURANCE
- COBS 8. ADDITIONAL RULES: OPERATING AN MTF OR OTF
- COBS 9. CORE RULES — OPERATING A CREDIT RATING AGENCY
- COBS 10. CORE RULES — OPERATING A CENTRAL SECURITIES DEPOSITORY
- COBS 11. RECORDS OF ORDERS AND TRANSACTIONS
- COBS 12. KEY INFORMATION AND CLIENT AGREEMENT
- COBS 13. PERIODIC STATEMENTS
- COBS 14. CLIENT MONEY AND RELEVANT MONEY PROVISIONS
- COBS 15. SAFE CUSTODY PROVISIONS
- COBS 16. RECOVERY AND RESOLUTION PLANNING FOR CLIENT MONEY, RELEVANT MONEY AND SAFE CUSTODY ASSETS
- COBS 17. ADDITIONAL RULES — AUTHORISED PERSONS CONDUCTING A REGULATED ACTIVITY IN RELATION TO VIRTUAL ASSETS
- COBS 18. OPERATING A PRIVATE FINANCING PLATFORM
- COBS 19. PAYMENT SERVICES
- COBS 20. THIRD PARTY PROVIDERS
-
Captive Insurance Business Rules (CIB) [VER04.030220]
- CIB 1 GENERAL PROVISIONS
- CIB 2 GENERAL PRUDENTIAL RULES
- CIB 3 ELIGIBLE CAPITAL
- CIB 4 ADDITIONAL REQUIREMENTS FOR CELL COMPANIES
- CIB 5 MANAGERIAL FUNCTIONS
- CIB 6 VALUATION OF ASSETS AND LIABILITIES
- CIB 7 ACTUARIAL REPORTING
- CIB 8 ADDITIONAL REQUIREMENTS FOR LONG-TERM INSURANCE BUSINESS
- CIB 9 TRANSFER OF INSURANCE BUSINESS
- CIB 10 CAPTIVE INSURERS IN RUN-OFF
-
Fund Rules (FUNDS) [VER06.250521]
- FUNDS PART 1: INTRODUCTION
- FUNDS PART 2: DEFINITIONAL PROVISIONS
- FUNDS PART 3: AUTHORISATION
- FUNDS PART 4: MARKETING OF DOMESTIC AND FOREIGN FUNDS
- FUNDS PART 5: CORE RULES RELATING TO ESTABLISHMENT AND MANAGEMENT OF DOMESTIC FUNDS
- FUNDS PART 6: TRANSFER SCHEMES
- FUNDS PART 7: WINDING UP
- FUNDS APP 1 DELEGATION AND OUTSOURCING
- FUNDS APP 2 MEETING PROCEDURES
- FUNDS APP 3 APPROVALS AND NOTIFICATIONS
- FUNDS APP 4 GUIDANCE ON ASSET VALUATION AND PRICING
- FUNDS APP 5 CONSTITUTION OF A DOMESTIC FUND
- FUNDS APP 6 GUIDANCE ON FITNESS AND PROPRIETY FOR OVERSIGHT FUNCTIONS
- FUNDS APP 7 PUBLIC FUND PROSPECTUS DISCLOSURE
- FUNDS APP 8 RECOGNISED JURISDICTION LIST
- Market Infrastructure Rulebook (MIR) [VER05.240220]
-
Market Rules (MKT) [VER03.030220]
- MKT 1. INTRODUCTION
- MKT 2. THE LISTING RULES
- MKT 3. LISTED FUNDS
- MKT 4. OFFERS OF SECURITIES
- MKT 5. SPONSORS AND COMPLIANCE ADVISERS
- MKT 6. MARKET ABUSE, PRICE STABILISATION AND BUY-BACK PROGRAMMES
- MKT 7. MARKET DISCLOSURE
- MKT 8. SYSTEMS AND CONTROLS
- MKT 9. GOVERNANCE OF REPORTING ENTITIES
- MKT 10. ACCOUNTING PERIODS, FINANCIAL REPORTS AND AUDITING
- MKT APP 1 CONTENT OF A PROSPECTUS
- MKT APP 2 MARKET DISCLOSURE
- MKT APP 3 MARKET DISCLOSURE RELATING TO LISTED FUNDS
- MKT APP 4 CORPORATE GOVERNANCE BEST PRACTICE STANDARDS
- MKT APP 5 LIST OF EXEMPT OFFERORS
- MKT APP 6 CONTINUING OBLIGATIONS — SECURITY SPECIFIC DISCLOSURES
- Rules of Market Conduct [VER02.210218]
-
Fund Passporting Rules (FP) [VER01.110319]
- 1. INTRODUCTION
- 2. PASSPORTED FUNDS
- 3. PROMOTION OF PASSPORTED FUNDS
- 4. REGISTRATION OF PASSPORTED FUNDS IN HOST JURISDICTION
- 5. REGISTER OF PASSPORTED FUNDS
- 6. MANAGEMENT AND OPERATION OF A PASSPORTED FUND
- 7. FEES
- 8. DE-REGISTRATION OF PASSPORTED FUNDS
- 9. SUPERVISORY AND INVESTIGATORY POWERS
- APP 1 PASSPORTED PUBLIC FUND MINIMUM CRITERIA
-
Past Versions
- Anti-Money Laundering and Sanctions Rules and Guidance (AML)
- Captive Insurance Business Rules (CIB)
- Conduct of Business Rules (COBS)
- Fees Rules (FEES)
- Fund Rules (FUNDS)
- General Rules (GEN)
- Glossary (GLO)
- Islamic Finance Rules (IFR)
- Market Infrastructure Rules (MIR)
- Markets Rules (MKT)
- Prudential — Insurance Business (PIN)
- Prudential — Investment, Insurance Intermediation and Banking Rules (PRU)
- Rules of Market Conduct (RMC)