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 6.2 Holding of client assets
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th January 2007
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COBS 16.4 Statements of client designated investments or client money
Chapter: Reporting information to clients
Effective Date: 26th July 2007
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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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COBS 18.5 Operators of collective investment schemes
Chapter: Specialist Regimes2007/58
Effective Date: 25th October 2007
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CASS 6.3 Depositing assets with third parties
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th January 2007
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COBS 16.3 Periodic reporting
Chapter: Reporting information to clients
Effective Date: 1st November 2007
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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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COBS 6.1 Information about the firm and compensation information
Chapter: Information about the firm, its services and remuneration
Effective Date: 24th May 2007
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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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COBS 16.2 Occasional reporting
Chapter: Reporting information to clients
Effective Date: 26th July 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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FEES 4.4 Information on which Fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 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