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 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 5.8 Safe keeping of client's documents and other assets
Chapter: Client money and mandates2007/4: insurance mediation activity
Effective Date: 14th January 2005
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SUP 6.4 Applications for cancellation of permission
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: 15th January 2004
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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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COB 6.1 Product disclosure
Chapter: Product disclosure and the customer's right to cancel or withdraw
Effective Date: 18th April 2002
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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
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COB 9.4 These provisions have been moved to the Client Assets sourcebook (CASS)
Chapter: Client assets
Effective Date: 17th July 2003
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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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FEES 4.4 Information on which Fees are calculated
Chapter: Periodic fees
Effective Date: 1st January 2006
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DISP 1.1 Application and Purpose
Chapter: Complaint handling procedures for firms
Effective Date: 20th December 2001
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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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SUP 3.10 Duties of auditors: notification and report on client assets
Chapter: Auditors
Effective Date: 18th March 2004
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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
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BIPRU 13.7 Contractual netting
Chapter: The calculation of counterparty risk exposure values for financial derivatives, securities financing transactions and long settlement transactions
Effective Date: 1st January 2007
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BIPRU 5.6 Master netting agreements
Chapter: Credit risk mitigation
Effective Date: 21st December 2006
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COB 6.3 Post-sale confirmation: life policies
Chapter: Product disclosure and the customer's right to cancel or withdraw
Effective Date: 20th September 2001
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CASS 1.2 General application: who? what?
Chapter: Application and general provisions
Effective Date: 18th December 2003