To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
DISP 1.2 Internal complaint handling procedures: general requirements
Chapter: Complaint handling procedures for firms
Effective Date: 17th July 2003
-
DISP 1.1 Application and Purpose
Chapter: Complaint handling procedures for firms
Effective Date: 20th December 2001
-
DISP 1.6 Cooperation by firms with the Ombudsman
Chapter: Complaint handling procedures for firms
Effective Date: 1st April 2002
-
DISP 1.3 Internal complaint handling procedures: additional requirements
Chapter: Complaint handling procedures for firms
Effective Date: 17th July 2003
-
FEES 4.4 Information on which Fees are calculated
Chapter: Periodic fees
Effective Date: 1st January 2006
-
FEES 4.3 Periodic fee payable by firms (other than ICVCs and UCITS qualifiers)
Chapter: Periodic fees
Effective Date: 23rd March 2006
-
MCOB 1.6 Application in relation to the Consumer Credit Act 1974
Chapter: Application and purpose
Effective Date: 19th February 2004
-
DISP 2.3 Time Limits for referral of complaints to the Financial Ombudsman Service
Chapter: Jurisdiction of the Financial Ombudsman Service
Effective Date: 16th January 2003
-
FEES 3.2 Obligation to pay fees
Chapter: Application, Notification and Vetting Fees
Effective Date: 25th May 2006
-
DISP 3.2 The investigation and consideration of complaints by the Ombudsman
Chapter: Complaint handling procedures of the Financial Ombudsman Service
Effective Date: 1st April 2002
-
DISP 2.7 The territorial scope of the jurisdiction of the Financial Ombudsman Service
Chapter: Jurisdiction of the Financial Ombudsman Service
Effective Date: 1st April 2002
-
COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 20th January 2005
-
DISP 3.5 Evidence
Chapter: Complaint handling procedures of the Financial Ombudsman Service
Effective Date: 1st April 2002
-
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
-
SUP 13.3 Establishing a branch in another EEA State
Chapter: Exercise of passport rights by UK firmsExercise of passport rights by UK firms [deleted]
Effective Date: 18th October 2001
-
DISP 1.5 Record keeping and reporting
Chapter: Complaint handling procedures for firms
Effective Date: 19th September 2002
-
SUP 13.6 Changes to branches
Chapter: Exercise of passport rights by UK firmsExercise of passport rights by UK firms [deleted]
Effective Date: 18th October 2001