To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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COBS 11.6 Use of dealing commission [deleted]
Chapter: Dealing and managing
Effective Date: 26th July 2007
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COBS 18.5 Residual CIS operators and small authorised UK AIFMs
Chapter: Specialist Regimes2007/58
Effective Date: 25th October 2007
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COBS 11.2 Best execution for AIFMs and residual CIS operators
Chapter: Dealing and managing
Effective Date: 26th July 2007
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COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes
Chapter: Operating duties and responsibilities
Effective Date: 1st July 2011
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COBS 6.1A Adviser charging and remuneration
Chapter: Information about the firm, its services and remuneration
Effective Date: 25th March 2010
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COBS 20.2 Treating with-profits policyholders fairly
Chapter: With-profits
Effective Date: 23rd July 2009
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COBS 11.8 Recording telephone conversations and electronic communications [deleted]
Chapter: Dealing and managing
Effective Date: 28th February 2008
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COLL 6.12 Risk management policy and risk measurement
Chapter: Operating duties and responsibilities
Effective Date: 1st July 2011
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COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products
Chapter: fConduct of business obligations
Effective Date: 26th July 2007
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COBS 14.2 Providing product information to clients
Chapter: Providing product information to clients
Effective Date: 26th July 2007
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COLL 6.13 Record keeping
Chapter: Operating duties and responsibilities
Effective Date: 1st July 2011
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COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 20th January 2005
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COLL 12.3 EEA UCITS management companies
Chapter: Management company and product passports under the UCITS DirectiveManagement company and product passports under the UCITS Directive [deleted]
Effective Date: 27th June 2013
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COLL 7.7 UCITS mergers
Chapter: Suspension of dealings and termination of authorised funds
Effective Date: 1st July 2011
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COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
Chapter: Information about the firm, its services and remuneration
Effective Date: 25th March 2010
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COBS 4.1 Application
Chapter: Communicating with clients, including financial promotions
Effective Date: 24th May 2007
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COLL 12.2 UK UCITS management companies
Chapter: Management company and product passports under the UCITS DirectiveManagement company and product passports under the UCITS Directive [deleted]
Effective Date: 3rd February 2016
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COBS 16.2 Occasional reporting
Chapter: Reporting information to clients
Effective Date: 26th July 2007