To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
CONC 14.1 Application
Chapter: Requirement in relation to agents
Effective Date: 25th September 2014
-
SUP 16.23 Annual Financial Crime Report
Chapter: Reporting requirements
Effective Date: 29th July 2016
-
FEES 4.4 Information on which fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
-
PERG 2.8 Exclusions applicable to particular regulated activities
Chapter: Authorisation and regulated activities
Effective Date: 15th September 2005
-
PERG 2.11 Persons who are exempt for credit-related regulated activities
Chapter: Authorisation and regulated activities
Effective Date: 27th September 2007
-
PERG 2.7 Activities: a broad outline
Chapter: Authorisation and regulated activities
Effective Date: 22nd June 2006
-
FEES 3.2 Obligation to pay fees
Chapter: Application, Notification and Vetting Fees
Effective Date: 25th May 2006
-
SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements
Chapter: Applications to vary and cancel Part IV permissionApplications to vary and cancel Part 4A permission and to impose, vary or cancel requirements
Effective Date: 20th December 2001
-
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
-
DISP 2.3 To which activities does the Compulsory Jurisdiction apply?
Chapter: Jurisdiction of the Financial Ombudsman Service
Effective Date: 16th January 2003
-
PERG 8.12 Exemptions applying to all controlled activities
Chapter: Financial promotion and related activities
Effective Date: 15th September 2005
-
CREDS 2.2 General provisions
Chapter: Senior management arrangements, systems and controls
Effective Date: 21st March 2012
-
PERG 2.10 Persons carrying on regulated activities who do not need authorisation
Chapter: Authorisation and regulated activities
Effective Date: 28th September 2006
-
SUP 6.5 Ending authorisation
Chapter: Applications to vary and cancel Part IV permissionApplications to vary and cancel Part 4A permission and to impose, vary or cancel requirements
Effective Date: 21st June 2001
-
SYSC 5.2
Chapter: Employees, agents and other relevant persons [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]Employees, agents and other relevant persons
Effective Date: 23rd June 2015
-
SUP 6.4 Applications for cancellation of permission
Chapter: Applications to vary and cancel Part IV permissionApplications to vary and cancel Part 4A permission and to impose, vary or cancel requirements
Effective Date: 15th January 2004
-
SUP 16.12 Integrated Regulatory Reporting
Chapter: Reporting requirements
Effective Date: 21st December 2006
-
SUP 6.2 Introduction
Chapter: Applications to vary and cancel Part IV permissionApplications to vary and cancel Part 4A permission and to impose, vary or cancel requirements
Effective Date: 21st July 2005
-
PERG 5.11 Other aspects of exclusions
Chapter: Guidance on insurance distribution activitiesGuidance on insurance mediation activities
Effective Date: 25th October 2006