To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
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
-
CASS 6.1 Application
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th October 2007
-
CASS 6.2 Holding of client assets
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th January 2007
-
COBS 6.1 Information about the firm and compensation information
Chapter: Information about the firm, its services and remuneration
Effective Date: 24th May 2007
-
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 5.5 Segregation and the operation of client money accounts
Chapter: Client money and mandates2007/4: insurance mediation activity
Effective Date: 16th December 2004
-
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 7A.2 Primary pooling events
Chapter: Client money distribution
Effective Date: 13th December 2012
-
COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs
Chapter: Specialist Regimes2007/58
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
-
COBS 19.4 Open market options
Chapter: Pensions – supplementary provisions
Effective Date: 24th June 2010
-
COBS 3.7 Providing clients with a higher level of protection
Chapter: Client categorisation
Effective Date: 1st November 2007
-
MCOB 9.4 Content of illustrations
Chapter: Lifetime Mortgage: product disclosure2006/45Equity release: product disclosure
Effective Date: 19th February 2004
-
COBS 6.1A Adviser charging and remuneration
Chapter: Information about the firm, its services and remuneration
Effective Date: 25th March 2010
-
COBS 4.5 Communicating with retail clients
Chapter: Communicating with clients, including financial promotions
Effective Date: 24th January 2008
-
COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
Chapter: Communicating with clients, including financial promotions
Effective Date: 25th October 2007
-
COBS 14.3 Information about designated investments
Chapter: Providing product information to clients
Effective Date: 28th June 2007
-
MCOB 5.6 Content of illustrations
Chapter: Pre-application disclosure
Effective Date: 19th February 2004
-
COBS 6.3 Disclosing information about services, fees and commission
Chapter: Information about the firm, its services and remuneration
Effective Date: 26th July 2007