Part

Using the FSA Handbook: an Overview for small IFA firms

Chapter

Further information

Printed on: 27/11/2024

Rulebook at: 01/12/2004

SIFA 19

Further information

SIFA 19.1

FSA contacts

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a) Handbook and publications

SIFA 19.1.1

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Handbook orders: online at www.tso.co.uk/bookshop
Handbook subscriptions and amendments helpline: 0845 608 2372
Technical queries on the CD-ROM: fsa@techindex.co.uk or 0134 440 4457
Other comments on the CD-ROM contents: cdhelp@fsa.gov.uk.
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b) FSA website: www.fsa.gov.uk

SIFA 19.1.2

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The FSA Website is an essential resource for firms and provides fully updated information and help. Clicking on 'Firms' and then 'Handbook' gives you access to the full FSA Handbook, the Reader's Guide, Tables of Derivation and Destination for FSA Rules, Forms, Guidance Notes and information on Periodic Fees.
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SIFA 19.1.3

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Clicking on 'Industry Help' gives you access to information on a range of topics that are relevant to firms. The Financial Services and Markets Act 2000 (the Act) may also be accessed from our website, under 'Industry Help'.
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SIFA 19.1.4

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Clicking on 'What We Do' provides an explanation of the functions of different parts of the FSA.
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SIFA 19.1.5

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The FSA Register is also on the website. The Register lists the permission of every FSA authorised firm and the controlled functions allocated to every registered individual.
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c) FSA Industry Training courses, FSA events and conferences

SIFA 19.1.6

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FSA Industry Training Department: see our website for further details www.fsa.gov.uk/industry-training
FSA Events and Conferences: Contact the FSA Events team by phone on 020 7066 0098, by fax on 020 7066 0063 or email at events@fsa.gov.uk.
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d) FSA authorisation and approved persons

SIFA 19.1.7

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If your firm is considering whether to apply for FSA authorisation for the first time or whether to modify its existing authorisation, you should refer to the Guidance Notes. The Application Pack and Guidance Notes may be ordered from our Publications Helpline at a charge of £25.00 plus VAT or are available on the FSA website.
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SIFA 19.1.8

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For queries about approved persons contact the Enquiries and Applications Department by email: iva@fsa.gov.uk or telephone the help line 020 7066 0019.
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e) Old rules / previous regulators

SIFA 19.1.9

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If your firm has a query about a previous rule or disciplinary notice issued by one of our predecessor regulators, you should email legal.queries@fsa.gov.uk. You can also check the derivation and destination tables at the back of the COB sourcebook.
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f) FSA fees

SIFA 19.1.10

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For invoice calculation, tariff data and payment queries including moving to direct debit, contact the Fees Helpline by email: fsafees@fsa.gov.uk or telephone 020 7066 1888. You can also write to The Revenue Department, Finance & Business Planning at the FSA.
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g) Contact Centre

SIFA 19.1.11

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The Contact Centre provides a helpline for firms supervised within Investment Firms Division but who do not have a nominated supervisor. This is where you should direct queries on matters such as Permissions and FOS and FSCS exemptions. You can reach the Contact Centre by email at red.cc@fsa.gov.uk, telephone 0845 606 9966, or you can write to Investment Firms Contact Centre 11th floor at the FSA.
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SIFA 19.1.12

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There is an information sheet of frequently asked questions on our website. To access it, please click on 'Industry Help' and then 'Information for firms supervised by the Investment Firms Division Contact Centre'.
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Other contacts Financial Ombudsmen Service (FOS)

SIFA 19.1.13

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For queries about payment and accounts for the FOS annual levy, contact the FOS by email: levy@financial-ombudsman.org.uk or telephone 020 7964 1222.
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SIFA 19.1.14

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For informal advice and guidance on ombudsman procedures, policy and decisions - contact the technical advice desk by email: technical.advice@financial-ombudsman.org.uk or telephone 020 7964 1400.
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Financial Services Compensation Scheme (FSCS)

SIFA 19.1.15

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Contact by email: enquiries@fscs.org.uk or telephone 020 7892 7300.
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Joint Money Laundering Steering Group (JMLSG)

SIFA 19.1.16

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The JMLSG website www.jmlsg.org.uk explains where you can get the Guidance Notes. AIFA is a member of the Steering Group.
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