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 6.1 Information about the firm and compensation information
Chapter: Information about the firm, its services and remuneration
Effective Date: 24th May 2007
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COBS 14.3 Information about designated investments
Chapter: Providing product information to clients
Effective Date: 28th June 2007
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COBS 18.5 Operators of collective investment schemes
Chapter: Specialist Regimes2007/58
Effective Date: 25th October 2007
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COBS 9.6 Special rules for giving basic advice on a stakeholder product
Chapter: Suitability (including basic advice)
Effective Date: 26th July 2007
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COBS 16.3 Periodic reporting
Chapter: Reporting information to clients
Effective Date: 1st November 2007
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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
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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
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COBS 4.6 Past, simulated past and future performance
Chapter: Communicating with clients, including financial promotions
Effective Date: 25th October 2007
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PERG 2.7 Activities: a broad outline
Chapter: Authorisation and regulated activities
Effective Date: 22nd June 2006
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COBS 4.5 Communicating with retail clients
Chapter: Communicating with clients, including financial promotions
Effective Date: 1st November 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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CASS 5.5 Segregation and the operation of client money accounts
Chapter: Client money and mandates2007/4: insurance mediation activity
Effective Date: 16th December 2004
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COBS 16.4 Statements of client designated investments or client money
Chapter: Reporting information to clients
Effective Date: 26th July 2007
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CASS 6.1 Application
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th October 2007
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COBS 8.1 Client agreements: designated investment business
Chapter: Client agreements
Effective Date: 24th May 2007
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COBS 16.2 Occasional reporting
Chapter: Reporting information to clients
Effective Date: 26th July 2007
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COBS 4.12 Unregulated collective investment schemes
Chapter: Communicating with clients, including financial promotions
Effective Date: 25th October 2007
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COBS 9.4 Suitability reports
Chapter: Suitability (including basic advice)
Effective Date: 26th July 2007