Legal Instruments

Effective: 07/03/2016

• Employees, agents and other relevant persons

Policy Statement

• PS8/16 - Internal governance of third country branches and response to CP3/16

Effective: 01/01/2014

• Employees, agents and other relevant persons [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]

Policy Statement

• PS7/13 - Strengthening capital standards: implementing CRD IV, feedback and final rules

Effective: 01/04/2013

• Employees, agents and other relevant persons [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]

Policy Statement

• PS1/13 - Regulatory Reform: amendments to the Prudential Regulation Authority Handbook

Effective: 01/04/2009

• Employees, agents and other relevant persons [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]

Effective: 09/12/2011

• Employees, agents and other relevant persons [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]

Effective: 01/07/2011

• Employees, agents and other relevant persons [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]