To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
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
-
CASS 11.4 Definition of client money and the discharge of fiduciary duty
Chapter: Debt management client money chapter
Effective Date: 1st April 2014
-
CASS 11.11 Records, accounts and reconciliations
Chapter: Debt management client money chapter
Effective Date: 27th March 2014
-
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
-
CASS 6.1 Application
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th October 2007
-
CASS 7A.2 Primary pooling events
Chapter: Client money distribution
Effective Date: 13th December 2012
-
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
-
CASS 7.19 Clearing member client money sub-pools
Chapter: Client money : MiFID business rules2008/45
Effective Date: 5th June 2014
-
CASS 5.1 Application
Chapter: Client money and mandates2007/4: insurance mediation activity
Effective Date: 15th January 2004
-
CASS 5.2 Holding money as agent of insurance undertaking
Chapter: Client money and mandates2007/4: insurance mediation activity
Effective Date: 18th November 2004
-
CASS 11.9 Segregation and the operation of client money accounts
Chapter: Debt management client money chapter
Effective Date: 27th March 2014
-
CASS 11.1 Application
Chapter: Debt management client money chapter
Effective Date: 27th February 2014
-
CASS 6.2 Holding of client assets
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th January 2007
-
CREDS 2.2 General provisions
Chapter: Senior management arrangements, systems and controls
Effective Date: 21st March 2012
-
SUP 16.12 Integrated Regulatory Reporting
Chapter: Reporting requirements
Effective Date: 21st December 2006
-
CASS 5.6 Client money distribution
Chapter: Client money and mandates2007/4: insurance mediation activity
Effective Date: 18th November 2004
-
SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents
Chapter: Appointed representatives
Effective Date: 20th September 2001
-
CASS 11.10 Payments to creditors
Chapter: Debt management client money chapter
Effective Date: 1st April 2014
-
SYSC 4.1 General requirements
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