To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
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
-
COBS 14.3 Information about designated investments
Chapter: Providing product information to clients
Effective Date: 28th June 2007
-
COBS 18.5 Operators of collective investment schemes
Chapter: Specialist Regimes2007/58
Effective Date: 25th October 2007
-
COBS 6.1 Information about the firm and compensation information
Chapter: Information about the firm, its services and remuneration
Effective Date: 24th May 2007
-
COBS 20.2 Treating with-profits policyholders fairly
Chapter: With-profits
Effective Date: 1st November 2007
-
COBS 6.3 Disclosing information about services, fees and commission – packaged products
Chapter: Information about the firm, its services and remuneration
Effective Date: 26th July 2007
-
COBS 16.2 Occasional reporting
Chapter: Reporting information to clients
Effective Date: 26th July 2007
-
COBS 4.6 Past, simulated past and future performance
Chapter: Communicating with clients, including financial promotions
Effective Date: 25th October 2007
-
COBS 4.5 Communicating with retail clients
Chapter: Communicating with clients, including financial promotions
Effective Date: 1st November 2007
-
COBS 14.2 Providing product information to clients
Chapter: Providing product information to clients
Effective Date: 26th July 2007
-
COBS 16.3 Periodic reporting
Chapter: Reporting information to clients
Effective Date: 1st November 2007
-
COBS 16.6 Life insurance contracts – communications to clients
Chapter: Reporting information to clients
Effective Date: 25th October 2007
-
COBS 9.6 Special rules for giving basic advice on a stakeholder product
Chapter: Suitability (including basic advice)
Effective Date: 26th July 2007