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Legal instruments

View all published instruments by year (since 2001)

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Not In force

Legal instruments published 2018

CRR Firms

Reference	Title of instrument	Part	Made date	Effective date
PRA2018/23	PRA Rulebook: CRR Firms: Leverage Ratio (Amendment) Instrument 2018 (not yet in force)	Reporting Leverage Ratio Public Disclosure Ring-fenced Bodies Leverage Ratio	07/11/2018	01/01/2019
PRA2018/21	PRA Rulebook: CRR Firms, Non CRR Firms, Solvency II Firms and Non Solvency II Firms: Senior Managers Regime and Senior Insurance Managers Regime (Amendment) (No 2) Instrument 2018 (not yet in force)	Allocation of Responsibilities Senior Management Functions	17/10/2018	10/12/2018
PRA2018/18	PRA Rulebook: Change in Control Amendments Instrument (No.1) 2018	Change in Control	03/07/2018	01/09/2018
PRA2018/15	PRA Rulebook: CRR Firms: Benchmarking Regulation Instrument 2018	Outsourcing Compliance and Internal Audit Risk Control General Organisational Requirements Senior Managers Regime - Applications and Notifications Skills, Knowledge and Expertise Record Keeping	21/06/2018	29/06/2018
PRA2018/13	PRA Rulebook: PRA Periodic Fees (2018/19) and Other Fees Instrument 2018	Fees	21/06/2018	28/06/2018
PRA2018-14	PRA Rulebook: CRR Firms: Large Exposures Amendment Instrument 2018	Regulatory Reporting Large Exposures	21/06/2018	29/06/2018
PRA2018/16	PRA Rulebook: CRR Firms, Non-CRR Firms, Solvency II Firms and Non Solvency II Firms: Senior Managers Regime and Senior Insurance Managers Regime (Amendment) (No 1) Instrument 2018 (not yet in force)	Senior Managers Regime - Transitional Provisions Notifications Allocation of Responsibilities Senior Managers Regime - Applications and Notifications Senior Management Functions Fitness and Propriety Audit Committee Remuneration Ring-fenced Bodies	22/05/2018	10/12/2018
PRA2018/11	PRA Rulebook: CRR Firm Internal Capital Adequacy Assessment (No. 2) Instrument 2018 (not yet in force)	Internal Capital Adequacy Assessment	25/04/2018	01/01/2019
PRA2018/10	PRA Rulebook: CRR Firms: Reporting Pillar 2 Amendment No.1 Instrument 2018	Reporting Pillar 2 Regulatory Reporting Reporting Leverage Ratio	25/04/2018	01/10/2018
PRA2018/9	PRA Rulebook: CRR Firms: Whistleblowing Amendment Instrument 2018	General Organisational Requirements	27/03/2018	30/03/2018
PRA2018/8	PRA Rulebook: CRR Firms: Groups (Level of Application) Instrument 2018	Regulatory Reporting General Organisational Requirements Internal Liquidity Adequacy Assessment Liquidity Coverage Requirement - UK Designated Investment Firms Skills, Knowledge and Expertise Internal Capital Adequacy Assessment Reporting Pillar 2 Risk Control Capital Buffers Leverage Ratio	27/03/2018	30/03/2018
PRA2018/6	PRA Rulebook: CRR Firms: Internal Capital Adequacy Assessment (Amendment) Instrument 2018	Internal Capital Adequacy Assessment	27/03/2018	30/03/2018
PRA2018/2	PRA Rulebook: CRR Firms, Non CRR Firms, Solvency II Firms, Non Solvency II Firms: MiFid II Passporting and IDD Consequential Amendments Instrument 2018	Passporting Change in Control Senior Managers Regime - Applications and Notifications	20/02/2018	23/02/2018
PRA2018/3	PRA Rulebook: CRR Firms: Regulatory Reporting PRA110 Amendment Instrument 2018 (not yet in force)	Regulatory Reporting Internal Liquidity Adequacy Assessment	19/02/2018	01/07/2019
PRA2018/12	PRA Rulebook: MIFID II Passporting Amendment Instrument 2018	Passporting	30/01/2018	05/02/2018

Non-CRR Firms

Reference	Title of instrument	Part	Made date	Effective date
PRA2018/21	PRA Rulebook: CRR Firms, Non CRR Firms, Solvency II Firms and Non Solvency II Firms: Senior Managers Regime and Senior Insurance Managers Regime (Amendment) (No 2) Instrument 2018 (not yet in force)	Senior Management Functions Allocation of Responsibilities	17/10/2018	10/12/2018
PRA2018/18	PRA Rulebook: Change in Control Amendments Instrument (No.1) 2018	Change in Control	03/07/2018	01/09/2018
PRA2018/15	PRA Rulebook: CRR Firms: Benchmarking Regulation Instrument 2018	Senior Managers Regime - Applications and Notifications	21/06/2018	29/06/2018
PRA2018/13	PRA Rulebook: PRA Periodic Fees (2018/19) and Other Fees Instrument 2018	Fees	21/06/2018	28/06/2018
PRA2018/16	PRA Rulebook: CRR Firms, Non-CRR Firms, Solvency II Firms and Non Solvency II Firms: Senior Managers Regime and Senior Insurance Managers Regime (Amendment) (No 1) Instrument 2018 (not yet in force)	Senior Managers Regime - Transitional Provisions Notifications Allocation of Responsibilities Senior Management Functions Fitness and Propriety Senior Managers Regime - Applications and Notifications	22/05/2018	10/12/2018
PRA2018/2	PRA Rulebook: CRR Firms, Non CRR Firms, Solvency II Firms, Non Solvency II Firms: MiFid II Passporting and IDD Consequential Amendments Instrument 2018	Change in Control Passporting Senior Managers Regime - Applications and Notifications	20/02/2018	23/02/2018
PRA2018/12	PRA Rulebook: MIFID II Passporting Amendment Instrument 2018	Passporting	30/01/2018	05/02/2018

SII Firms

Reference	Title of instrument	Part	Made date	Effective date
PRA2018/22	PRA Rulebook: Solvency II Firms and Non Solvency II Firms: Senior Insurance Managers Regime (Amendment) (No 3) Instrument 2018 (not yet in force)	Senior Insurance Managers Regime - Applications and Notifications Insurance - Fitness and Propriety	17/10/2018	10/12/2018
PRA2018/21	PRA Rulebook: CRR Firms, Non CRR Firms, Solvency II Firms and Non Solvency II Firms: Senior Managers Regime and Senior Insurance Managers Regime (Amendment) (No 2) Instrument 2018 (not yet in force)	Insurance - Senior Insurance Management Functions Senior Insurance Managers Regime - Transitional Provisions Insurance - Fitness and Propriety Key Function Holder - Notifications Insurance - Allocation of Responsibilities Insurance General Application Group Supervision Actuaries Third Country Branches	17/10/2018	10/12/2018
PRA2018/20	PRA Rulebook: Solvency II Firms and Non-Authorised Persons: External Audit Amendments Instrument 2018	External Audit	28/09/2018	15/11/2018
PRA2018/19	PRA Rulebook: Solvency II Reporting Amendments Instrument (No.2) 2018 (not yet in force)	Reporting	24/07/2018	31/12/2018
PRA2018/18	PRA Rulebook: Change in Control Amendments Instrument (No.1) 2018	Change in Control	03/07/2018	01/09/2018
PRA2018/17	PRA Rulebook: Solvency II Firms: Reporting Amendments Instrument (No.1) 2018 (not yet in force)	Reporting	03/07/2018	31/12/2018
PRA2018/13	PRA Rulebook: PRA Periodic Fees (2018/19) and Other Fees Instrument 2018	Fees	21/06/2018	28/06/2018
PRA2018/16	PRA Rulebook: CRR Firms, Non-CRR Firms, Solvency II Firms and Non Solvency II Firms: Senior Managers Regime and Senior Insurance Managers Regime (Amendment) (No 1) Instrument 2018 (not yet in force)	Notifications Audit Committee Insurance - Certification Insurance - Conduct Standards Insurance - Senior Insurance Management Functions Senior Insurance Managers Regime - Applications and Notifications Insurance - Allocation of Responsibilities Insurance - Fitness and Propriety Key Function Holder - Notifications Group Supervision Senior Insurance Managers Regime - Transitional Provisions Transitional Measures	22/05/2018	10/12/2018
PRA2018/7	PRA Rulebook: Solvency II Firms: Transitional Measures: Report on Financial and Solvency Conditions Instrument 2018	Transitional Measures	27/03/2018	30/03/2018
PRA2018/5	PRA Rulebook: Solvency II Firms: Conditions Governing Business Instrument 2018	Conditions Governing Business	27/03/2018	30/03/2018
PRA2018/2	PRA Rulebook: CRR Firms, Non CRR Firms, Solvency II Firms, Non Solvency II Firms: MiFid II Passporting and IDD Consequential Amendments Instrument 2018	Passporting Change in Control Senior Insurance Managers Regime - Applications and Notifications	20/02/2018	23/02/2018
PRA2018/12	PRA Rulebook: MIFID II Passporting Amendment Instrument 2018	Passporting	30/01/2018	05/02/2018
PRA2018/1	PRA Rulebook: Solvency II Firms, Non-Solvency II Firms: Senior Insurance Managers Regime (Amendment) Instrument 2018	Insurance - Senior Insurance Management Functions Insurance - Allocation of Responsibilities Conditions Governing Business Third Country Branches	16/01/2018	09/04/2018

Non-SII Firms

Reference	Title of instrument	Part	Made date	Effective date
PRA2018/22	PRA Rulebook: Solvency II Firms and Non Solvency II Firms: Senior Insurance Managers Regime (Amendment) (No 3) Instrument 2018 (not yet in force)	Large Non-Solvency II Firms – Fitness and Propriety Non-Solvency II Firms - Fitness and Propriety Large Non-Solvency II Firms – Senior Insurance Managers Regime – Applications and Notifications Non-Solvency II Firms – Senior Insurance Managers Regime – Applications and Notifications	17/10/2018	10/12/2018
PRA2018/21	PRA Rulebook: CRR Firms, Non CRR Firms, Solvency II Firms and Non Solvency II Firms: Senior Managers Regime and Senior Insurance Managers Regime (Amendment) (No 2) Instrument 2018 (not yet in force)	Large Non-Solvency II Firms – Senior Insurance Management Functions Large Non-Solvency II Firms – Senior Insurance Managers Regime – Transitional Provisions Non-Solvency II Firms – Senior Insurance Managers Regime – Transitional Provisions Large Non-Solvency II Firms – Allocation of Responsibilities Non-Solvency II Firms - Senior Insurance Management Functions Non–Solvency II Firms – Transitional Measures Insurance General Application Large Non-Solvency II Firms – Fitness and Propriety Non-Solvency II Firms – Actuarial Requirements Large Non-Solvency II Firms – Key Function Holder – Notifications Non-Solvency II Firms - Fitness and Propriety Non-Solvency II Firms - Allocation of Responsibilities	17/10/2018	10/12/2018
PRA2018/18	PRA Rulebook: Change in Control Amendments Instrument (No.1) 2018	Change in Control	03/07/2018	01/09/2018
PRA2018/13	PRA Rulebook: PRA Periodic Fees (2018/19) and Other Fees Instrument 2018	Fees	21/06/2018	28/06/2018
PRA2018/16	PRA Rulebook: CRR Firms, Non-CRR Firms, Solvency II Firms and Non Solvency II Firms: Senior Managers Regime and Senior Insurance Managers Regime (Amendment) (No 1) Instrument 2018 (not yet in force)	Notifications Large Non-Solvency II Firms – Fitness and Propriety Large Non-Solvency II Firms – Key Function Holder – Notifications Large Non-Solvency II Firms – Senior Insurance Management Functions Large Non-Solvency II Firms – Senior Insurance Managers Regime – Applications and Notifications Non-Solvency II Firms - Conduct Standards Non-Solvency II Firms - Fitness and Propriety Non-Solvency II Firms – Senior Insurance Managers Regime – Applications and Notifications Insurance Company - Reporting Large Non-Solvency II Firms – Allocation of Responsibilities Large Non-Solvency II Firms – Conduct Standards Non-Solvency II Firms – Certification Non-Solvency II Firms – Governance Non-Solvency II Firms - Senior Insurance Management Functions Large Non-Solvency II Firms – Certification Non-Solvency II Firms – Senior Insurance Managers Regime – Transitional Provisions Large Non-Solvency II Firms – Senior Insurance Managers Regime – Transitional Provisions Non-Solvency II Firms - Run-off Firms Non-Solvency II Firms - Allocation of Responsibilities	22/05/2018	10/12/2018
PRA2018/2	PRA Rulebook: CRR Firms, Non CRR Firms, Solvency II Firms, Non Solvency II Firms: MiFid II Passporting and IDD Consequential Amendments Instrument 2018	Change in Control Passporting Large Non-Solvency II Firms – Senior Insurance Managers Regime – Applications and Notifications Non-Solvency II Firms – Senior Insurance Managers Regime – Applications and Notifications	20/02/2018	23/02/2018
PRA2018/12	PRA Rulebook: MIFID II Passporting Amendment Instrument 2018	Passporting	30/01/2018	05/02/2018
PRA2018/1	PRA Rulebook: Solvency II Firms, Non-Solvency II Firms: Senior Insurance Managers Regime (Amendment) Instrument 2018	Large Non-Solvency II Firms – Senior Insurance Management Functions Large Non-Solvency II Firms – Allocation of Responsibilities Non-Solvency II Firms – Governance	16/01/2018	09/04/2018

Non-authorised persons

Reference	Title of instrument	Part	Made date	Effective date
PRA2018/23	PRA Rulebook: CRR Firms: Leverage Ratio (Amendment) Instrument 2018 (not yet in force)	Ring-fenced Bodies	07/11/2018	01/01/2019
PRA2018/21	PRA Rulebook: CRR Firms, Non CRR Firms, Solvency II Firms and Non Solvency II Firms: Senior Managers Regime and Senior Insurance Managers Regime (Amendment) (No 2) Instrument 2018 (not yet in force)	Non-Solvency II Firms – Actuarial Requirements	17/10/2018	10/12/2018
PRA2018/20	PRA Rulebook: Solvency II Firms and Non-Authorised Persons: External Audit Amendments Instrument 2018	External Audit	28/09/2018	15/11/2018
PRA2018/13	PRA Rulebook: PRA Periodic Fees (2018/19) and Other Fees Instrument 2018	Fees	21/06/2018	28/06/2018
PRA2018/16	PRA Rulebook: CRR Firms, Non-CRR Firms, Solvency II Firms and Non Solvency II Firms: Senior Managers Regime and Senior Insurance Managers Regime (Amendment) (No 1) Instrument 2018 (not yet in force)	Ring-fenced Bodies	22/05/2018	10/12/2018
PRA2018/4	PRA Rulebook: Non Authorised Persons: FSCS Management Expenses Levy Limit and Base Costs Instrument 2018	FSCS Management Expenses Levy Limit and Base Costs	27/03/2018	01/04/2018