To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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APER 3.1 Introduction
Chapter: Code of Practice for Approved Persons: general
Effective Date: 17th February 2005
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APER 3.3 Factors relating to Statements of Principle 5 to 7
Chapter: Code of Practice for Approved Persons: general
Effective Date: 1st December 2001
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APER 4.2 Statement of Principle 2
Chapter: Code of Practice for Approved Persons: specific
Effective Date: 15th September 2005
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APER 4.4 Statement of Principle 4
Chapter: Code of Practice for Approved Persons: specific
Effective Date: 1st December 2001
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SYSC 2.2 Recording the apportionment
Chapter: Senior management arrangements
Effective Date: 1st December 2001
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APER 4.5 Statement of Principle 5
Chapter: Code of Practice for Approved Persons: specific
Effective Date: 1st December 2001
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SYSC 2.1 Apportionment of Responsibilities
Chapter: Senior management arrangements
Effective Date: 19th September 2002
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APER 4.6 Statement of Principle 6
Chapter: Code of Practice for Approved Persons: specific
Effective Date: 1st December 2001
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SUP 15.3 General notification requirements
Chapter: Notifications to the FCANotifications to the FSANotifications to the FCA or PRAFCA_2013_16_PRA_2013/11
Effective Date: 16th December 2004
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COND 2.5 Threshold condition 5: Suitability
Chapter: The threshold conditions
Effective Date: 15th January 2004
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SUP 13A.9 The precautionary measure rule for incoming EEA firms
Chapter: Qualifying for authorisation under the ActQualifying for authorisation under the Act [deleted]
Effective Date: 25th October 2007
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APER 4.1 Statement of Principle 1
Chapter: Code of Practice for Approved Persons: specific
Effective Date: 15th September 2005
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SUP 6.3 Applications for variation of permission
Chapter: Applications to vary and cancel Part IV permissionApplications to vary and cancel Part 4A permission and to impose, vary or cancel requirements
Effective Date: 20th December 2001
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SUP 15.4 Notified persons
Chapter: Notifications to the FCANotifications to the FSANotifications to the FCA or PRAFCA_2013_16_PRA_2013/11
Effective Date: 23rd November 2006
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SYSC 4.1 General requirements
Chapter: Guidance on Public Interest Disclosure Act: WhistleblowingGeneral organisational requirements [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]2006/50General organisational requirements
Effective Date: 21st March 2002
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FEES 3.2 Obligation to pay fees
Chapter: Application, Notification and Vetting Fees
Effective Date: 25th May 2006