To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
CASS 9.5 Reporting to clients on request
Chapter: Prime brokerageFCA 2014/36Information to clientsFCA 2014/36
Effective Date: 5th June 2014
-
CASS 6.1 Application
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th October 2007
-
CASS 7.13 Segregation of client money
Chapter: Client money : MiFID business rules2008/45
Effective Date: 5th June 2014
-
CASS 6.6 Records, accounts and reconciliations
Chapter: Custody : MiFID business rules2008/45
Effective Date: 5th June 2014
-
CASS 7.11 Treatment of client money
Chapter: Client money : MiFID business rules2008/45
Effective Date: 5th June 2014
-
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 7.10 Application and purpose
Chapter: Client money : MiFID business rules2008/45
Effective Date: 5th June 2014
-
CASS 7.16 The standard methods of internal client money reconciliation
Chapter: Client money : MiFID business rules2008/45
Effective Date: 26th June 2014
-
CASS 7.15 Records, accounts and reconciliations
Chapter: Client money : MiFID business rules2008/45
Effective Date: 26th June 2014
-
COBS 16.4 Statements of client designated investments or client money
Chapter: Reporting information to clients
Effective Date: 26th July 2007
-
CASS 6.2 Holding of client assets
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th January 2007
-
CASS 11.11 Records, accounts and reconciliations
Chapter: Debt management client money chapter
Effective Date: 27th March 2014
-
CASS 5.6 Client money distribution
Chapter: Client money and mandates2007/4: insurance mediation activity
Effective Date: 18th November 2004
-
COBS 18.5 Residual CIS operators and small authorised UK AIFMs
Chapter: Specialist Regimes2007/58
Effective Date: 25th October 2007
-
CASS 7.19 Clearing member client money sub-pools
Chapter: Client money : MiFID business rules2008/45
Effective Date: 5th June 2014
-
CASS 7A.2 Primary pooling events
Chapter: Client money distribution
Effective Date: 13th December 2012
-
CASS 7A.3 Secondary pooling events
Chapter: Client money distribution
Effective Date: 25th March 2010
-
CASS 9.4 Information to clients concerning custody assets and client money
Chapter: Prime brokerageFCA 2014/36Information to clientsFCA 2014/36
Effective Date: 5th June 2014
-
DISP 1.1A Complaints handling requirements for MiFID complaints
Chapter: Complaint handling procedures for firms
Effective Date: 3rd July 2017