To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
CASS 1.4 Application: particular activities
Chapter: Application and general provisions
Effective Date: 25th January 2007
-
CASS 6.1 Application
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th October 2007
-
FEES 4.4 Information on which Fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
-
CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank
Chapter: Debt management client money chapter
Effective Date: 27th March 2014
-
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
-
PERG 2.7 Activities: a broad outline
Chapter: Authorisation and regulated activities
Effective Date: 22nd June 2006
-
COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 20th January 2005
-
COLL 7.7 UCITS mergers
Chapter: Suspension of dealings and termination of authorised funds
Effective Date: 1st July 2011
-
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
-
COBS 6.1D Product provider requirements relating to consultancy charging and remuneration
Chapter: Information about the firm, its services and remuneration
Effective Date: 22nd September 2011
-
CASS 11.11 Records, accounts and reconciliations
Chapter: Debt management client money chapter
Effective Date: 27th March 2014
-
SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents
Chapter: Appointed representatives
Effective Date: 20th September 2001
-
CASS 1.2 General application: who? what?
Chapter: Application and general provisions
Effective Date: 18th December 2003
-
COBS 6.1A Adviser charging and remuneration
Chapter: Information about the firm, its services and remuneration
Effective Date: 25th March 2010
-
SUP 12.5 Contracts: required terms
Chapter: Appointed representatives
Effective Date: 21st November 2002
-
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
-
COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes
Chapter: Investment and borrowing powers
Effective Date: 27th July 2006