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Bye-laws and regulations archive

Code of Ethics

  • Code of Ethics (Part A-C effective from 1 July 2011), (Part D GB,NI effective from 1 January 2009), (Part D ROI effective from 1 January 2010) [SUPERCEDED]
    PDF, 1.84 MB
  • Code of Ethics effective from 1 July 2006 until 30 June 2011 [SUPERCEDED]
    PDF, 960.94 KB
  • Code of Ethics effective from 1 October 2013 until 14 January 2014 [SUPERCEDED]
    PDF, 1.95 MB
  • Code of Ethics effective from 15 January 2014 until 29 September 2016 [SUPERCEDED]
    PDF, 1.95 MB
  • Code of Ethics - [Effective from 30 September 2016 until 29 February 2020] [SUPERCEDED]
    PDF, 2.17 MB

Audit regulations

  • Audit Regulations (UK & ROI) effective from 1 June 2012 until 31 March 2013 [SUPERCEDED]
    PDF, 182.85 KB
  • Audit Regulations (UK & ROI) effective from 1 April 2013 until 31 December 2013 [SUPERCEDED]
    PDF, 1.09 MB
  • Audit Regulations (UK & ROI) effective from 1 January 2014 until 16 June 2016 (UK) until 29 September 2016 (ROI) [SUPERCEDED]
    PDF, 191.81 KB
  • Audit Regulations Effective from 1 April 2017 until 31 December 2019 [SUPERCEDED]
    PDF, 496.64 KB
  • Audit regulations Effective from 1 January 2020 [SUPERCEDED]
    PDF, 782.04 KB
  • Addendum to the Audit Regulations and Guidance Dec 2021 [SUPERCEDED]
    PDF, 208.12 KB
  • Audit regulations 1 Jan 2020 and addendum referenced 22 Dec 2021 ROI [SUPERCEDED]
    PDF, 918.89 KB
  • Audit Regulations (UK) effective until 31 March 2017 [SUPERCEDED]
    PDF, 479.64 KB
  • Audit Regulations (ROI) effective until 31 March 2017 [SUPERCEDED]
    PDF, 456.92 KB

Consumer credit regulations

  • Consumer Credit Transitional Arrangements Regulations effective from 1 April 2014 [SUPERCEDED]
    PDF, 186.39 KB
  • Consumer Credit Transitional Arrangements Regulations extended until 31 August 2015 [SUPERCEDED]
    PDF, 456.92 KB
  • Consumer Credit Transitional Arrangements Regulations extended until 31 March 2016 [SUPERCEDED]
    PDF, 188.03 KB
  • DPB Consumer Credit Handbook - Effective from 30 September 2016 until 4 January 2021 [SUPERCEDED]
    PDF, 203.27 KB

CPD regulations

  • CPD Regulations Effective from 30 Sept 2016 until 14 June 2020 [SUPERCEDED]
    PDF, 570.38 KB
  • CPD Regualtions (revised) Effective from 15 June 2020 until 4 January 2021 [SUPERCEDED]
    PDF, 344.08 KB
  • CPD Regulations - Effective 5 Jan 2021 [SUPERCEDED)
    PDF, 4.06 MB

DPB regulations

  • DPB Regulations Handbook effective from 30 September 2016 until 30 September 2018 [SUPERCEDED]
    PDF, 547.59 KB
  • DPB Regulations Handbook effective from 1 January 2011 until 31 March 2013 [SUPERCEDED]
    PDF, 552.41 KB
  • DPB Regulations Handbook effective from 1 April 2013 until 29 September 2016 [SUPERCEDED]
    PDF, 545.91 KB

Insolvency licensing (GB/NI) regulations

  • Insolvency Licensing (GB/NI) Regulations effective from 1 July 2009 until 31 January 2016 [SUPERCEDED]
    PDF, 448.46 KB
  • Insolvency Regulations to Insolvency Service - Effective 1 February 2016 - 4 January 2021 [SUPERCEDED]
    PDF, 541.72 KB

Investment business regulations

  • Investment Business Regulations [Effective from 30 Sept 2017 until 31 January 2018] [SUPERCEDED]
    PDF, 1.19 MB
  • Investment Business Regulations Volume II effective from 7 March 2007 until 30 June 2011 [SUPERCEDED]
    PDF, 2.06 MB
  • Investment Business Regulations Volume I effective from 7 March 2007 until 30 June 2011 [SUPERCEDED]
    PDF, 670.54 KB
  • Investment Business Regulations effective from 1 July 2011 until 2 February 2014 [SUPERCEDED]
    PDF, 759.94 KB
  • Investment Business Regulations effective from 3 February 2014 until 29 September 2016 [SUPERCEDED]
    PDF, 1.09 MB
  • Investment Business Regulations - Investment Intermediaries Act 1995 Effective until 6 November 2018 [SUPERCEDED]
    PDF, 1.19 MB
  • Investment Business Regulations - IDD Updates - Effective from 7 November 2018 until 4 January 2021 [SUPERCEDED]
    PDF, 1.25 MB

Public practice regulations (PPRs)

  • Public Practice Regulations effective from 30 September 2016 until 4 October 2018 [SUPERCEDED]
    PDF, 656.23 KB
  • Public Practice Regulations effective from 1 August 2012 until 30 September 2013 [SUPERCEDED]
    PDF, 1.33 MB
  • Public Practice Regulations effective from 1 October 2013 until 31 March 2014 [SUPERCEDED]
    PDF, 1011.39 KB
  • Public Practice Regulations effective from 1 April 2014 until 4 October 2015 [SUPERCEDED]
    PDF, 817.33 KB
  • Public Practice Regulations effective from 5 October 2015 until 29 September 2016 [SUPERCEDED]
    PDF, 771.79 KB
  • Public Practice Regulations IDD Update Effective from 5 October 2018 until 30 April 2020 [SUPERCEDED]
    PDF, 855.51 KB
  • Public Practice Regulations - Effective from 1 May 2020 until 4 January 2021 [SUPERCEDED]
    PDF, 662.25 KB
  • Public Practice Regulations Effective from 5 Jan 2021 until 21 Dec 2021 [SUPERCEDED]
    PDF, 608.54 KB

Public practice regulations consolidated [for archive only]

  • Rules of Professional Conduct effective from 1 July 2006 until 31 July 2012
    PDF, 94.60 KB
  • Client Money Regulations and Guidance effective from 7 March 2007 until 31 July 2012
    PDF, 160.65 KB
  • General Affiliate Regulations effective from 15 July 2010 until 31 July 2012
    PDF, 146.68 KB
  • Practising Certificate Regulations effective from 1 August 2011 until 31 July 2012
    PDF, 1.00 MB
  • Professional Indemnity Insurance Regulations effective from 1 January 2011 until 31 July 2012
    PDF, 159.16 KB
  • Quality Review Regulations and Guidance effective from 7 March 2007 until 31 July 2012
    PDF, 141.86 KB

Disciplinary bye-laws

  • Disciplinary Bye-Laws effective from 1 December 2011 until 30 November 2012 [SUPERCEDED]
    PDF, 271.76 KB
  • Disciplinary Bye-Laws effective from 1 December 2012 until 4 October 2015 [SUPERCEDED]
    PDF, 427.46 KB
  • Disciplinary Bye-Laws Effective from 30 September 2016 until 4 January 2021 [SUPERCEDED]
    PDF, 350.29 KB

Disciplinary regulations

  • Disciplinary Regulations Effective from 30 September 2016 until 4 January 2021 [SUPERCEDED]
    PDF, 537.55 KB

Principal bye-laws

  • Principal Bye-Laws effective from 30 September 2016 until 20 March 2018 [SUPERCEDED]
    PDF, 244.33 KB
  • Principal Bye-Laws effective from 1 December 2011 until 30 November 2012 [SUPERCEDED]
    PDF, 380.31 KB
  • Principal Bye-Laws effective from 1 December 2012 until 4 October 2015 [SUPERCEDED]
    PDF, 383.95 KB
  • Principal Bye-Laws effective from 5 October 2015 until 29 September 2016 [SUPERCEDED]
    PDF, 383.73 KB
  • Amended Principal Bye-Laws Effective from 5 October 2015 to 29 September 2016 [SUPERCEDED]
    PDF, 391.07 KB
  • Principal Bye-Laws 30 September 2016 revised 21 March 2018 [SUPERCEDED]
    PDF, 471.38 KB
  • Principal Bye-Laws Effective from 30 September 2016 until 4 January 2021 [SUPERCEDED]
    PDF, 244.33 KB

Regulations

  • CARB Regulations effective from 25 June 2012 until 24 March 2015 [SUPERCEDED]
    PDF, 219.66 KB
  • CARB Regulations effective from 1 November 2008 until 24 June 2012 [SUPERCEDED]
    PDF, 1001.60 KB
  • CARB Regulations effective from 25 March 2015 [SUPERCEDED]
    PDF, 74.11 KB

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