• Rulebook Contents (Overview)

    • UG-2.1.3

      Except for Volume 5, 6 and 7, the basic structure of each Rulebook is the same. Each Volume starts with a contents page and an introduction containing a User's Guide and Executive Summary. Subsequent material is organised underneath the following headings:

      (a) High-level Standards;
      (b) Business Standards;
      (c) Prudential requirements;
      (d) Reporting Requirements;
      (e) Enforcement and Redress; and, where appropriate,
      (f) Sector Guides.
      Amended: April 2013

    • UG-2.1.4

      Volume 5 is organised by the Category of specialised firm concerned, whilst Volume 6 by subject area (authorised exchanges; the offering of securities etc).

    • UG-2.1.5

      The material in Volumes 1–4 is contained in Modules, each covering a specific area of requirements (e.g. capital). In turn, each Module is divided into Chapters, Sections and Paragraphs, as detailed below.

      Amended: April 2013

    • UG-2.1.6

      Each Volume has its own appendix Volume containing relevant reporting and authorisation forms; a glossary; and any supplementary information. In all cases, the main Volume is called 'Part A' and the appendix Volume is called 'Part B'.