To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
APER 4.1 Statement of Principle 1
Chapter: Code of Practice for Approved Persons: specific
Effective Date: 15th September 2005
-
APER 4.2 Statement of Principle 2
Chapter: Code of Practice for Approved Persons: specific
Effective Date: 15th September 2005
-
MCOB 9.4 Content of illustrations
Chapter: Lifetime Mortgage: product disclosure2006/45Equity release: product disclosure
Effective Date: 19th February 2004
-
CASS 5.5 Segregation and the operation of client money accounts
Chapter: Client money and mandates2007/4: insurance mediation activity
Effective Date: 16th December 2004
-
SYSC 10.1 Application
Chapter: Conflicts of interest [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]Conflicts of interest
Effective Date: 23rd November 2006
-
MCOB 5.6 Content of illustrations
Chapter: Pre-application disclosure
Effective Date: 19th February 2004
-
GENPRU 2.2 Capital resources
Chapter: Capital [deleted]FCA 2021/39Capital
Effective Date: 21st December 2006
-
FEES 4.4 Information on which Fees are calculated
Chapter: Periodic fees
Effective Date: 1st January 2006
-
COB 2.3 Reliance on others
Chapter: Rules which apply to all firms conducting designated investment business
Effective Date: 18th December 2003
-
TC 2.1 Application: who? where? and what?
Chapter: Rules and GuidanceCompetence
Effective Date: 19th September 2002
-
COND 2.5 Threshold condition 5: Suitability
Chapter: The threshold conditions
Effective Date: 15th January 2004
-
COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 20th January 2005
-
SUP 12.6 Continuing obligations of firms with appointed representatives
Chapter: Appointed representatives
Effective Date: 20th September 2001
-
LR 13.5 Financial information in Class 1 Circulars
Chapter: Contents of circulars
Effective Date: 1st July 2005
-
SUP 6.4 Applications for cancellation 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: 15th January 2004
-
INSPRU 1.5 Internal-contagion risk
Chapter: Capital resources requirements and technical provisions for insurance business
Effective Date: 15th December 2006