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 1.3 Internal complaint handling procedures: additional requirements
Chapter: Complaint handling procedures for firms
Effective Date: 17th July 2003
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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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COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 1st April 2004
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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 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
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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
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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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SUP 14.2 Changes to branch details
Chapter: Incoming EEA firms changing details, and cancelling qualification for authorisationIncoming EEA firms changing details, and cancelling qualification for authorisation [deleted]
Effective Date: 18th October 2001
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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 3.5 Evidence
Chapter: Complaint handling procedures of the Financial Ombudsman Service
Effective Date: 1st April 2002
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SUP 13.4 Providing cross border services into another EEA State
Chapter: Exercise of passport rights by UK firmsExercise of passport rights by UK firms [deleted]
Effective Date: 18th October 2001
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COB 11.2 Relationship with the scheme
Chapter: Trustee and depositary activities
Effective Date: 17th July 2003
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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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SUP 18.2 Insurance business transfers
Chapter: Transfers of business
Effective Date: 18th November 2004
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COLL 6.3 Valuation and pricing
Chapter: Operating duties and responsibilities
Effective Date: 1st April 2004