To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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DISP 1.1 Application and Purpose
Chapter: Complaint handling procedures for firms
Effective Date: 20th December 2001
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SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
Chapter: Appointed representatives
Effective Date: 15th January 2004
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DISP 1.3 Internal complaint handling procedures: additional requirements
Chapter: Complaint handling procedures for firms
Effective Date: 17th July 2003
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DISP 1.2 Internal complaint handling procedures: general requirements
Chapter: Complaint handling procedures for firms
Effective Date: 17th July 2003
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DISP 1.5 Record keeping and reporting
Chapter: Complaint handling procedures for firms
Effective Date: 19th September 2002
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SYSC 3.2 Areas covered by systems and controls
Chapter: Systems and controlsSystems and Controls
Effective Date: 21st November 2002
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DISP 1.4 Time limits for dealing with a complaint
Chapter: Complaint handling procedures for firms
Effective Date: 17th July 2003
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DISP 1.6 Cooperation by firms with the Ombudsman
Chapter: Complaint handling procedures for firms
Effective Date: 1st April 2002
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SUP 5.1 Application and purpose
Chapter: Reports by skilled persons
Effective Date: 20th September 2001
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DISP 3.5 Evidence
Chapter: Complaint handling procedures of the Financial Ombudsman Service
Effective Date: 1st April 2002
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DISP 3.7 Delegation of the Ombudsman's powers
Chapter: Complaint handling procedures of the Financial Ombudsman Service
Effective Date: 1st April 2002
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SYSC 4.1 Application and purpose
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
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SUP 15.2 Purpose
Chapter: Notifications to the FCANotifications to the FSANotifications to the FCA or PRAFCA_2013_16_PRA_2013/11
Effective Date: 21st June 2001
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COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
Chapter: Operating duties and responsibilities
Effective Date: 1st April 2004