To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
COB 11.7 Record Keeping
Chapter: Trustee and depositary activities
Effective Date: 1st December 2001
-
COB 11.2 Relationship with the scheme
Chapter: Trustee and depositary activities
Effective Date: 17th July 2003
-
COB 11.3 Packaged products
Chapter: Trustee and depositary activities
Effective Date: 18th November 2004
-
COB 11.6 Delegation to a permitted third party.
Chapter: Trustee and depositary activities
Effective Date: 1st December 2001
-
COB 2.3 Reliance on others
Chapter: Rules which apply to all firms conducting designated investment business
Effective Date: 18th December 2003
-
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
-
COB 6.1 Product disclosure
Chapter: Product disclosure and the customer's right to cancel or withdraw
Effective Date: 18th April 2002
-
COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
Chapter: Operating duties and responsibilities
Effective Date: 21st April 2005
-
PERG 8.14 Other financial promotions
Chapter: Financial promotion and related activities
Effective Date: 15th September 2005
-
COB 8.1 Confirmation of transactions
Chapter: Reporting to customers
Effective Date: 20th September 2001
-
SYSC 1.4 Application of SYSC 11 to SYSC 18
Chapter: Application and purpose
Effective Date: 23rd November 2006
-
COB 9.4 These provisions have been moved to the Client Assets sourcebook (CASS)
Chapter: Client assets
Effective Date: 17th July 2003
-
COB 9.2 These provisions have been moved to the Client Assets sourcebook (CASS)
Chapter: Client assets
Effective Date: 17th July 2003
-
COB 6.3 Post-sale confirmation: life policies
Chapter: Product disclosure and the customer's right to cancel or withdraw
Effective Date: 20th September 2001
-
MAR 1.3 Market abuse (insider dealing)
Chapter: The Code of Market ConductThe Code of Market Conduct
Effective Date: 1st December 2001
-
COLL 8.5 Powers and responsibilities
Chapter: Qualified investor schemes
Effective Date: 27th July 2006