To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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CASS 1.4 Application: particular activities
Chapter: Application and general provisions
Effective Date: 1st December 2004
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COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 1st April 2004
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SUP 12.6 Continuing obligations of firms with appointed representatives
Chapter: Appointed representatives
Effective Date: 20th September 2001
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CASS 1.2 General application: who? what?
Chapter: Application and general provisions
Effective Date: 18th December 2003
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DISP 1.1 Application and Purpose
Chapter: Complaint handling procedures for firms
Effective Date: 20th December 2001
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SUP 13.4 Providing cross border services into another EEA State
Chapter: Exercise of passport rights by UK firmsExercise of passport rights by UK firms [deleted]
Effective Date: 18th October 2001
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COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes
Chapter: Investment and borrowing powers
Effective Date: 1st April 2004
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SUP 12.5 Contracts: required terms
Chapter: Appointed representatives
Effective Date: 21st November 2002
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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
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COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
Chapter: Operating duties and responsibilities
Effective Date: 1st April 2004
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COB 2.3 Reliance on others
Chapter: Rules which apply to all firms conducting designated investment business
Effective Date: 18th December 2003
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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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SUP 13.3 Establishing a branch in another EEA State
Chapter: Exercise of passport rights by UK firmsExercise of passport rights by UK firms [deleted]
Effective Date: 18th October 2001
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SYSC 4.1 Application and purpose
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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SUP 12.1 Application and purpose
Chapter: Appointed representatives
Effective Date: 15th January 2004
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SUP 3.10 Duties of auditors: notification and report on client assets
Chapter: Auditors
Effective Date: 18th March 2004
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SUP 12.3 What responsibility does a firm have for its appointed representatives ?
Chapter: Appointed representatives
Effective Date: 21st June 2001