To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
CASS 6.4 Use of safe custody assets
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th January 2007
-
CASS 6.1 Application
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th October 2007
-
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
-
CASS 6.2 Holding of client assets
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th January 2007
-
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 7.19 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
-
SYSC 5.1 Skills, knowledge and expertise
Chapter: Employees, agents and other relevant persons [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]Employees, agents and other relevant persons
Effective Date: 23rd November 2006
-
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
-
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
-
CASS 10.1 Application, purpose and general provisions
Chapter: CASS resolution pack
Effective Date: 31st October 2012
-
CASS 7A.3 Secondary pooling events
Chapter: Client money distribution
Effective Date: 25th March 2010
-
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
-
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
-
FEES 4.4 Information on which Fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
-
CREDS 2.2 General provisions
Chapter: Senior management arrangements, systems and controls
Effective Date: 21st March 2012
-
COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 20th January 2005
-
DISP 1.1 Purpose and application
Chapter: Complaint handling procedures for firms
Effective Date: 20th December 2001
-
CASS 5.2 Holding money as agent of insurance undertaking
Chapter: Client money and mandates2007/4: insurance mediation activity
Effective Date: 18th November 2004