To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
COB 2.3 Reliance on others
Chapter: Rules which apply to all firms conducting designated investment business
Effective Date: 18th December 2003
-
COB 11.2 Relationship with the scheme
Chapter: Trustee and depositary activities
Effective Date: 17th July 2003
-
TC 2.1 Application: who? where? and what?
Chapter: Rules and GuidanceCompetence
Effective Date: 19th September 2002
-
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
-
COB 11.6 Delegation to a permitted third party.
Chapter: Trustee and depositary activities
Effective Date: 1st December 2001
-
SYSC 4.1 Application and purpose
Chapter: Guidance on Public Interest Disclosure Act: WhistleblowingGeneral organisational requirements [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]2006/50General organisational requirements
Effective Date: 21st March 2002
-
COB 6.1 Product disclosure
Chapter: Product disclosure and the customer's right to cancel or withdraw
Effective Date: 18th April 2002
-
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
-
DISP 1.1 Application and Purpose
Chapter: Complaint handling procedures for firms
Effective Date: 20th December 2001
-
SUP 12.5 Contracts: required terms
Chapter: Appointed representatives
Effective Date: 21st November 2002
-
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
Chapter: Appointed representatives
Effective Date: 15th January 2004
-
COB 9.1 These provisions have been moved to the Client Assets sourcebook (CASS)
Chapter: Client assets
Effective Date: 18th July 2002
-
COLL 6.3 Valuation and pricing
Chapter: Operating duties and responsibilities
Effective Date: 1st April 2004
-
COB 6.4 Product disclosure: special situations
Chapter: Product disclosure and the customer's right to cancel or withdraw
Effective Date: 15th April 2004
-
COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 1st April 2004
-
COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
Chapter: Operating duties and responsibilities
Effective Date: 1st April 2004
-
COB 9.2 These provisions have been moved to the Client Assets sourcebook (CASS)
Chapter: Client assets
Effective Date: 17th July 2003
-
COB 9.4 These provisions have been moved to the Client Assets sourcebook (CASS)
Chapter: Client assets
Effective Date: 17th July 2003