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 12.2 Treatment of client money
Chapter: Commodity Futures Trading Commission Part 30 exemption order
Effective Date: 25th September 2014
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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 5.6 Client money distribution
Chapter: Client money and mandates2007/4: insurance mediation activity
Effective Date: 18th November 2004
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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
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CASS 7A.3 Secondary pooling events
Chapter: Client money distribution
Effective Date: 25th March 2010
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CASS 7.19 Clearing member client money sub-pools
Chapter: Client money : MiFID business rules2008/45
Effective Date: 5th June 2014
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CASS 11.11 Records, accounts and reconciliations
Chapter: Debt management client money chapter
Effective Date: 27th March 2014
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CASS 7A.2 Primary pooling events
Chapter: Client money distribution
Effective Date: 13th December 2012
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CASS 11.9 Segregation and the operation of client money accounts
Chapter: Debt management client money chapter
Effective Date: 27th March 2014
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GENPRU 2.2 Capital resources
Chapter: Capital [deleted]FCA 2021/39Capital
Effective Date: 21st December 2006
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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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FEES 4.4 Information on which Fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
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CASS 7A.1 Application and purpose
Chapter: Client money distribution
Effective Date: 25th September 2008
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CASS 6.1 Application
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th October 2007
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CASS 5.2 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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SYSC 19A.3 Remuneration principles for banks, building societies and investment firms
Chapter: Remuneration Code
Effective Date: 2nd November 2011
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IFPRU 2.2 Internal capital adequacy assessment process
Chapter: Supervisory processes and governance [deleted]FCA 2021/39Supervisory processes and governance
Effective Date: 30th January 2014
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COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 20th January 2005
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SYSC 4.2 Persons who effectively direct the business
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: 25th September 2008
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CASS 5.4 Non-statutory client money trust
Chapter: Client money and mandates2007/4: insurance mediation activity
Effective Date: 18th November 2004