To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
CASS 6.1 Application
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th October 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 5.6 Client money distribution
Chapter: Client money and mandates2007/4: insurance mediation activity
Effective Date: 18th November 2004
-
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
-
FEES 4.4 Information on which Fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
-
CASS 6.2 Holding of client assets
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th January 2007
-
CASS 5.1 Application
Chapter: Client money and mandates2007/4: insurance mediation activity
Effective Date: 15th January 2004
-
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 5.2 Holding money as agent of insurance undertaking
Chapter: Client money and mandates2007/4: insurance mediation activity
Effective Date: 18th November 2004
-
SUP 16.12 Integrated Regulatory Reporting
Chapter: Reporting requirements
Effective Date: 21st December 2006
-
CASS 10.1 Application, purpose and general provisions
Chapter: CASS resolution pack
Effective Date: 31st October 2012
-
CASS 5.8 Safe keeping of client's documents and other assets
Chapter: Client money and mandates2007/4: insurance mediation activity
Effective Date: 25th March 2010
-
SYSC 7.1 Risk control
Chapter: Risk control [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]Risk control
Effective Date: 23rd November 2006
-
PERG 2.7 Activities: a broad outline
Chapter: Authorisation and regulated activities
Effective Date: 22nd June 2006
-
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