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
-
CASS 6.1 Application
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th October 2007
-
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: 27th September 2007
-
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
-
REC 2.5 Systems and controls and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
COBS 20.2 Treating with-profits policyholders fairly
Chapter: With-profits
Effective Date: 1st November 2007
-
TC 2.1 Assessing and maintaining competence
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
-
DEPP 2.5 Provision for certain categories of decision
Chapter: Statutory notices and the allocation of decision making
Effective Date: 27th September 2007
-
COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 20th January 2005
-
CASS 6.2 Holding of client assets
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th January 2007