To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
APER 4.5 Statement of Principle 5
Chapter: Code of Practice for Approved Persons: specific
Effective Date: 1st December 2001
-
APER 4.6 Statement of Principle 6
Chapter: Code of Practice for Approved Persons: specific
Effective Date: 1st December 2001
-
SYSC 3.2 Areas covered by systems and controls
Chapter: Systems and controlsSystems and Controls
Effective Date: 21st November 2002
-
APER 4.7 Statement of Principle 7
Chapter: Code of Practice for Approved Persons: specific
Effective Date: 1st December 2001
-
TC 2.1 Application: who? where? and what?
Chapter: Rules and GuidanceCompetence
Effective Date: 19th September 2002
-
APER 3.1 Introduction
Chapter: Code of Practice for Approved Persons: general
Effective Date: 1st December 2001
-
SYSC 2.1 Apportionment of Responsibilities
Chapter: Senior management arrangements
Effective Date: 19th September 2002
-
COND 2.5 Threshold condition 5: Suitability
Chapter: The threshold conditions
Effective Date: 15th January 2004
-
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
-
APER 4.4 Statement of Principle 4
Chapter: Code of Practice for Approved Persons: specific
Effective Date: 1st December 2001
-
SUP 12.6 Continuing obligations of firms with appointed representatives
Chapter: Appointed representatives
Effective Date: 20th September 2001
-
SYSC 4.2 Practical measures
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: 1st May 2002
-
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
-
SYSC 2.2 Recording the apportionment
Chapter: Senior management arrangements
Effective Date: 1st December 2001
-
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
Chapter: Appointed representatives
Effective Date: 15th January 2004
-
FIT 2.2 Competence and capability
Chapter: Main assessment criteria
Effective Date: 3rd September 2001