To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
COBS 11.8 Recording telephone conversations and electronic communications
Chapter: Dealing and managing
Effective Date: 28th February 2008
-
COBS 20.2 Treating with-profits policyholders fairly
Chapter: With-profits
Effective Date: 23rd July 2009
-
COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs
Chapter: Specialist Regimes2007/58
Effective Date: 25th October 2007
-
COBS 6.1A Adviser charging and remuneration
Chapter: Information about the firm, its services and remuneration
Effective Date: 25th March 2010
-
FEES 4.4 Information on which Fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
-
COBS 3.7 Providing clients with a higher level of protection
Chapter: Client categorisation
Effective Date: 1st November 2007
-
COBS 4.1 Application
Chapter: Communicating with clients, including financial promotions
Effective Date: 24th May 2007
-
COBS 4.10 Systems and controls and approving and communicating financial promotions
Chapter: Communicating with clients, including financial promotions
Effective Date: 1st November 2007
-
COBS 11.5 Record keeping: client orders and transactions
Chapter: Dealing and managing
Effective Date: 1st November 2007
-
COBS 14.3 Information about designated investments
Chapter: Providing product information to clients
Effective Date: 28th June 2007
-
COBS 16.3 Periodic reporting
Chapter: Reporting information to clients
Effective Date: 22nd January 2009
-
COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
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