To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
CASS 7.10 Application and purpose
Chapter: Client money : MiFID business rules2008/45
Effective Date: 5th June 2014
-
CASS 7.13 Segregation 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 7.19 Clearing member client money sub-pools
Chapter: Client money : MiFID business rules2008/45
Effective Date: 5th June 2014
-
SUP 16.23 Annual Financial Crime Report
Chapter: Reporting requirements
Effective Date: 29th July 2016
-
CASS 7.11 Treatment of client money
Chapter: Client money : MiFID business rules2008/45
Effective Date: 5th June 2014
-
CASS 6.1 Application
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th October 2007
-
CASS 5.1 Application
Chapter: Client money and mandates2007/4: insurance mediation activity
Effective Date: 15th January 2004
-
FEES 4.4 Information on which fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
-
CASS 7.15 Records, accounts and reconciliations
Chapter: Client money : MiFID business rules2008/45
Effective Date: 26th June 2014
-
CASS 6.6 Records, accounts and reconciliations
Chapter: Custody : MiFID business rules2008/45
Effective Date: 5th June 2014
-
PERG 2.7 Activities: a broad outline
Chapter: Authorisation and regulated activities
Effective Date: 22nd June 2006
-
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 7A.2 Primary pooling events
Chapter: Client money distribution
Effective Date: 13th December 2012
-
SUP 16.12 Integrated Regulatory Reporting
Chapter: Reporting requirements
Effective Date: 21st December 2006
-
CASS 7.16 The standard methods of internal client money reconciliation
Chapter: Client money : MiFID business rules2008/45
Effective Date: 26th June 2014
-
CASS 11.11 Records, accounts and reconciliations
Chapter: Debt management client money chapter
Effective Date: 27th March 2014
-
CASS 7A.3 Secondary pooling events
Chapter: Client money distribution
Effective Date: 25th March 2010
-
DISP 1.1A Complaints handling requirements for MiFID complaints
Chapter: Complaint handling procedures for firms
Effective Date: 3rd July 2017
-
SYSC 5.2 Certification regime
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 June 2015