To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
DISP 1.1 Purpose and application
Chapter: Complaint handling procedures for firms
Effective Date: 20th December 2001
-
DISP 1.9 Complaints record rule
Chapter: Complaint handling procedures for firms
Effective Date: 26th May 2011
-
DISP 1.11 The Society of Lloyd's
Chapter: Complaint handling procedures for firms
Effective Date: 28th January 2010
-
SYSC 4.6
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: 23rd June 2015
-
SUP 16.23 Annual Financial Crime Report
Chapter: Reporting requirements
Effective Date: 29th July 2016
-
DISP 1.1A Complaints handling requirements for MiFID complaints
Chapter: Complaint handling procedures for firms
Effective Date: 3rd July 2017
-
COLL 6.12 Risk management policy and risk measurement
Chapter: Operating duties and responsibilities
Effective Date: 1st July 2011
-
DISP 2.6 What is the territorial scope of the relevant jurisdiction?
Chapter: Jurisdiction of the Financial Ombudsman Service
Effective Date: 17th July 2003
-
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
-
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: 27th June 2013
-
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
-
DISP 1.3 Complaints handling rules
Chapter: Complaint handling procedures for firms
Effective Date: 17th July 2003
-
COLL 6.13 Record keeping
Chapter: Operating duties and responsibilities
Effective Date: 1st July 2011
-
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
-
SYSC 4.8
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: 23rd June 2015
-
DISP 1.10B Payment services and electronic money complaints reporting
Chapter: Complaint handling procedures for firms
Effective Date: 13th January 2018
-
COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 20th January 2005
-
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: 3rd February 2016
-
COLL 6.6B UCITS depositaries
Chapter: Operating duties and responsibilities
Effective Date: 3rd February 2016
-
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