Cross-cutting policies

PRA Rules

Rulebook Parts below appear in the CRR and non-CRR firms sectors of the PRA rulebook. To avoid duplication, links are provided to the CRR firms sector of the rulebook.

• Fundamental Rules
• General Provisions
• Allocation of responsibilities
• Auditors
• Certification
• Change in Control
• Close Links
• Conduct Rules
• Fees
• Fitness and Propriety
• Housing
• Information Gathering
• Interpretation
• Notifications
• Permissions
• Permissions and Waivers
• Senior Managers Regime - Applications and Notifications
• Senior Management Functions
• Use of Skilled Persons

UK legislation

• Threshold Conditions – as defined in Section 55B and Schedule 6 of the Financial Services and Markets Act 2000

Supervisory Statements and Statements of Policy

• Prudential assessment of acquisitions and increases in control (SS10/24)
• Outsourcing and third-party risk management (SS2/21)
• PRA approach to interpreting reporting and disclosure requirements and regulatory transactions forms (SS2/19)
• Corporate governance: Board responsibilities (SS5/16)
• Whistleblowing in deposit-takers, PRA-designated investment firms and insurers (SS39/15)
• Fees: PRA approach and applications (SS3/16)
• Strengthening individual accountability in banking (SS28/15)
• Reports by skilled persons (SS7/14)
• Guidelines for completing regulatory reports (SS34/15)
• The Bank's approach to enforcement: statements of policy and procedure (Statement of Policy)
• The financial stability information power (Statement of Policy)
• The use of PRA powers to address serious failings in the culture of firms (Statement of Policy)
• The Prudential Regulation Authority’s approach to rule permissions and waivers (Statement of Policy)

Post EU withdrawal:

• Non-binding PRA materials: The PRA’s approach after the UK’s withdrawal from the EU (SS1/19)
• Interpretation of EU Guidelines and Recommendations: Bank of England and PRA approach after the UK’s withdrawal from the EU (Statement of Policy)