To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
CASS 6.1 Application
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th October 2007
-
CASS 1A.1 Application
Chapter: CASS firm classification and operational oversight
Effective Date: 13th October 2010
-
CASS 1A.2 CASS firm classification
Chapter: CASS firm classification and operational oversight
Effective Date: 13th October 2010
-
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
-
SUP 16.14 Client money and asset return
Chapter: Reporting requirements
Effective Date: 13th October 2010
-
SUP 16.12 Integrated Regulatory Reporting
Chapter: Reporting requirements
Effective Date: 21st December 2006
-
CASS 5.1 Application
Chapter: Client money and mandates2007/4: insurance mediation activity
Effective Date: 15th January 2004
-
CASS 9.1 Application
Chapter: Prime brokerageFCA 2014/36Information to clientsFCA 2014/36
Effective Date: 13th October 2010
-
CASS 7A.2 Primary pooling events
Chapter: Client money distribution
Effective Date: 1st January 2009
-
CASS 5.6 Client money distribution
Chapter: Client money and mandates2007/4: insurance mediation activity
Effective Date: 18th November 2004
-
CASS 6.2 Holding of client assets
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th January 2007
-
SUP 6.5 Ending authorisation
Chapter: Applications to vary and cancel Part IV permissionApplications to vary and cancel Part 4A permission and to impose, vary or cancel requirements
Effective Date: 21st June 2001
-
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
-
PERG 2.7 Activities: a broad outline
Chapter: Authorisation and regulated activities
Effective Date: 22nd June 2006
-
PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
Chapter: Authorisation and regulated activities
Effective Date: 15th September 2005
-
CASS 10.1 Application, purpose and general provisions
Chapter: CASS resolution pack
Effective Date: 1st October 2012
-
CASS 7A.3 Secondary pooling events
Chapter: Client money distribution
Effective Date: 25th March 2010
-
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