To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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COB 2.3 Reliance on others
Chapter: Rules which apply to all firms conducting designated investment business
Effective Date: 18th December 2003
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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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COB 11.2 Relationship with the scheme
Chapter: Trustee and depositary activities
Effective Date: 17th July 2003
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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
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TC 2.1 Application: who? where? and what?
Chapter: Rules and GuidanceCompetence
Effective Date: 19th September 2002
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FEES 4.4 Information on which Fees are calculated
Chapter: Periodic fees
Effective Date: 1st January 2006
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COB 11.6 Delegation to a permitted third party.
Chapter: Trustee and depositary activities
Effective Date: 1st December 2001
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PERG 8.4 Invitation or inducement
Chapter: Financial promotion and related activities
Effective Date: 15th September 2005
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PERG 8.14 Other financial promotions
Chapter: Financial promotion and related activities
Effective Date: 15th September 2005
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COB 6.1 Product disclosure
Chapter: Product disclosure and the customer's right to cancel or withdraw
Effective Date: 18th April 2002
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SYSC 4.1 General requirements
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
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SYSC 1.4 Application of SYSC 11 to SYSC 18
Chapter: Application and purpose
Effective Date: 23rd November 2006
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PERG 8.12 Exemptions applying to all controlled activities
Chapter: Financial promotion and related activities
Effective Date: 15th September 2005
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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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DISP 1.1 Application and Purpose
Chapter: Complaint handling procedures for firms
Effective Date: 20th December 2001
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PERG 2.7 Activities: a broad outline
Chapter: Authorisation and regulated activities
Effective Date: 22nd June 2006
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SUP 12.5 Contracts: required terms
Chapter: Appointed representatives
Effective Date: 21st November 2002
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SYSC 7.1 Risk control
Chapter: Risk control [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]Risk control
Effective Date: 23rd November 2006