To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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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
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CASS 6.1 Application
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th October 2007
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CASS 9.5 Reporting to clients on request
Chapter: Prime brokerageFCA 2014/36Information to clientsFCA 2014/36
Effective Date: 5th June 2014
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CASS 7.10 Application and purpose
Chapter: Client money : MiFID business rules2008/45
Effective Date: 5th June 2014
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CASS 6.2 Holding of client assets
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th January 2007
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CASS 6.6 Records, accounts and reconciliations
Chapter: Custody : MiFID business rules2008/45
Effective Date: 5th June 2014
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CASS 7.13 Segregation of client money
Chapter: Client money : MiFID business rules2008/45
Effective Date: 5th June 2014
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CASS 7.11 Treatment of client money
Chapter: Client money : MiFID business rules2008/45
Effective Date: 5th June 2014
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COBS 6.1 Information about the firm and compensation information
Chapter: Information about the firm, its services and remuneration
Effective Date: 24th May 2007
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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
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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
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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
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CASS 7A.2 Primary pooling events
Chapter: Client money distribution
Effective Date: 13th December 2012
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COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs
Chapter: Specialist Regimes2007/58
Effective Date: 25th October 2007
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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
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COBS 19.7 Retirement risk warnings
Chapter: Pensions – supplementary provisions
Effective Date: 26th February 2015
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COBS 19.4 Open market options
Chapter: Pensions – supplementary provisions
Effective Date: 24th June 2010
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COBS 22.3 Restrictions on the retail distribution of contingent convertible instruments and CoCo funds
Chapter: Restrictions on the distribution of certain complex investment productsRestrictions on distribution of contingent convertible instruments
Effective Date: 12th June 2015
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CASS 7.14 Client money held by a third party
Chapter: Client money : MiFID business rules2008/45
Effective Date: 1st June 2015