To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
COBS 11.5 Record keeping: client orders and transactions
Chapter: Dealing and managing
Effective Date: 1st November 2007
-
COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs
Chapter: Specialist Regimes2007/58
Effective Date: 25th October 2007
-
COBS 20.2 Treating with-profits policyholders fairly
Chapter: With-profits
Effective Date: 23rd July 2009
-
COBS 4.6 Past, simulated past and future performance
Chapter: Communicating with clients, including financial promotions
Effective Date: 25th October 2007
-
COBS 16.2 Occasional reporting
Chapter: Reporting information to clients
Effective Date: 26th July 2007
-
PERG 13.7 The territorial application of MiFID
Chapter: Guidance on the scope of the Markets in Financial Instruments Directive and the recast Capital Adequacy Directive
Effective Date: 25th October 2007
-
COBS 2.4 Agent as client and reliance on others
Chapter: fConduct of business obligations
Effective Date: 28th June 2007
-
COBS 11.8 Recording telephone conversations and electronic communications
Chapter: Dealing and managing
Effective Date: 28th February 2008
-
COBS 14.3 Information about designated investments
Chapter: Providing product information to clients
Effective Date: 28th June 2007
-
COBS 6.2A Describing advice services
Chapter: Information about the firm, its services and remuneration
Effective Date: 25th March 2010
-
COBS 9.6 Special rules for giving basic advice on a stakeholder product
Chapter: Suitability (including basic advice)
Effective Date: 26th July 2007
-
COBS 6.1A Adviser charging and remuneration
Chapter: Information about the firm, its services and remuneration
Effective Date: 25th March 2010