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 6.1 Application
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th October 2007
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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
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CASS 10.3 Existing records forming part of the CASS resolution pack
Chapter: CASS resolution pack
Effective Date: 1st October 2012
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CASS 7A.2 Primary pooling events
Chapter: Client money distribution
Effective Date: 13th December 2012
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CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th January 2007
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CASS 6.2 Holding of client assets
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th January 2007
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CASS 10.1 Application, purpose and general provisions
Chapter: CASS resolution pack
Effective Date: 31st October 2012
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CASS 7A.3 Secondary pooling events
Chapter: Client money distribution
Effective Date: 25th March 2010
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CASS 1A.2 CASS firm classification
Chapter: CASS firm classification and operational oversight
Effective Date: 13th October 2010
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CASS 5.1 Application
Chapter: Client money and mandates2007/4: insurance mediation activity
Effective Date: 15th January 2004
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CASS 5.6 Client money distribution
Chapter: Client money and mandates2007/4: insurance mediation activity
Effective Date: 18th November 2004
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CASS 5.2 Holding money as agent of insurance undertaking
Chapter: Client money and mandates2007/4: insurance mediation activity
Effective Date: 18th November 2004
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COBS 3.7 Providing clients with a higher level of protection
Chapter: Client categorisation
Effective Date: 1st November 2007
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CASS 6.4 Use of safe custody assets
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th January 2007
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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
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DISP 1.1 Purpose and application
Chapter: Complaint handling procedures for firms
Effective Date: 20th December 2001
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CREDS 2.2 General provisions
Chapter: Senior management arrangements, systems and controls
Effective Date: 21st March 2012