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
-
TC 2.1 Assessing and maintaining competence
Chapter: Rules and GuidanceCompetence
Effective Date: 19th September 2002
-
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
-
FEES 4.4 Information on which Fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
-
SUP 16.12 Integrated Regulatory Reporting
Chapter: Reporting requirements
Effective Date: 21st December 2006
-
PERG 8.4 Invitation or inducement
Chapter: Financial promotion and related activities
Effective Date: 15th September 2005
-
PERG 8.14 Other financial promotions
Chapter: Financial promotion and related activities
Effective Date: 15th September 2005
-
SYSC 1.4 Application of SYSC 11 to SYSC 21
Chapter: Application and purpose
Effective Date: 23rd November 2006
-
COBS 20.2 Treating with-profits policyholders fairly
Chapter: With-profits
Effective Date: 23rd July 2009
-
COBS 9.6 Special rules for giving basic advice on a stakeholder product
Chapter: Suitability (including basic advice)
Effective Date: 26th July 2007
-
COBS 19.1 Pension transfers and opt-outs
Chapter: Pensions – supplementary provisions
Effective Date: 24th May 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
-
PERG 8.12 Exemptions applying to all controlled activities
Chapter: Financial promotion and related activities
Effective Date: 15th September 2005
-
COBS 4.12 Unregulated collective investment schemes
Chapter: Communicating with clients, including financial promotions
Effective Date: 25th October 2007
-
SUP 13A.9 The precautionary measure rule for incoming EEA firms
Chapter: Qualifying for authorisation under the ActQualifying for authorisation under the Act [deleted]
Effective Date: 25th October 2007
-
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