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 9.5 Reporting to clients on request
Chapter: Prime brokerageFCA 2014/36Information to clientsFCA 2014/36
Effective Date: 5th June 2014
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CASS 6.1 Application
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th October 2007
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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 7.13 Segregation of client money
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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DISP 1.1A Complaints handling requirements for MiFID complaints
Chapter: Complaint handling procedures for firms
Effective Date: 3rd July 2017
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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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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 6.6 Records, accounts and reconciliations
Chapter: Custody : MiFID business rules2008/45
Effective Date: 5th June 2014
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SYSC 10A.1 Application
Chapter: Recording telephone conversations and electronic communications
Effective Date: 3rd July 2017
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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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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 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)
Chapter: Information about the firm, its services and remuneration
Effective Date: 24th May 2007
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CASS 7.16 The standard methods of internal client money reconciliation
Chapter: Client money : MiFID business rules2008/45
Effective Date: 26th June 2014
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MAR 10.4 Position reporting
Chapter: Commodity derivative position limits and controls, and position reporting
Effective Date: 3rd July 2017
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MAR 5.3A Systems and controls for algorithmic trading
Chapter: Alternative Trading SystemsMultilateral trading facilities (MTFs)
Effective Date: 3rd July 2017
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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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SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order
Chapter: Guidance on passporting issuesGuidance on passporting issues [deleted]
Effective Date: 20th May 2004
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COBS 16.4 Statements of client designated investments or client money
Chapter: Reporting information to clients
Effective Date: 26th July 2007