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 Purpose and application
Chapter: Complaint handling procedures for firms
Effective Date: 20th December 2001
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DISP 1.9 Complaints record rule
Chapter: Complaint handling procedures for firms
Effective Date: 26th May 2011
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DISP 1.11 The Society of Lloyd's
Chapter: Complaint handling procedures for firms
Effective Date: 28th January 2010
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DISP 2.6 What is the territorial scope of the relevant jurisdiction?
Chapter: Jurisdiction of the Financial Ombudsman Service
Effective Date: 17th July 2003
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COLL 6.12 Risk management policy and risk measurement
Chapter: Operating duties and responsibilities
Effective Date: 1st July 2011
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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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COLL 12.3 EEA UCITS management companies
Chapter: Management company and product passports under the UCITS DirectiveManagement company and product passports under the UCITS Directive [deleted]
Effective Date: 1st July 2011
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COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes
Chapter: Operating duties and responsibilities
Effective Date: 1st July 2011
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DISP 1.3 Complaints handling rules
Chapter: Complaint handling procedures for firms
Effective Date: 17th July 2003
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COLL 6.13 Record keeping
Chapter: Operating duties and responsibilities
Effective Date: 1st July 2011
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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 13A.9 The precautionary measure rule for incoming EEA firms
Chapter: Qualifying for authorisation under the ActQualifying for authorisation under the Act [deleted]
Effective Date: 25th October 2007
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SYSC 4.1 General requirements
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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COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 20th January 2005
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FEES 4.3 Periodic fee payable by firms (other than ICVCs and UCITS qualifiers)
Chapter: Periodic fees
Effective Date: 23rd March 2006
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SUP 13A.4 EEA firms establishing a branch in the United Kingdom
Chapter: Qualifying for authorisation under the ActQualifying for authorisation under the Act [deleted]
Effective Date: 25th October 2007
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COLL 12.2 UK UCITS management companies
Chapter: Management company and product passports under the UCITS DirectiveManagement company and product passports under the UCITS Directive [deleted]
Effective Date: 1st July 2011
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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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COLL 7.7 UCITS mergers
Chapter: Suspension of dealings and termination of authorised funds
Effective Date: 1st July 2011