To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
DISP 2.3 To which activities does the Compulsory Jurisdiction apply?
Chapter: Jurisdiction of the Financial Ombudsman Service
Effective Date: 16th January 2003
-
DISP 1.1 Purpose and application
Chapter: Complaint handling procedures for firms
Effective Date: 20th December 2001
-
DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?
Chapter: Jurisdiction of the Financial Ombudsman Service
Effective Date: 27th March 2008
-
DISP 1.11 The Society of Lloyd's
Chapter: Complaint handling procedures for firms
Effective Date: 1st November 2007
-
FEES 4.4 Information on which Fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
-
FEES 3.2 Obligation to pay fees
Chapter: Application, Notification and Vetting Fees
Effective Date: 25th May 2006
-
DISP 2.1 Purpose, interpretation and application
Chapter: Jurisdiction of the Financial Ombudsman Service
Effective Date: 17th July 2003
-
PERG 2.7 Activities: a broad outline
Chapter: Authorisation and regulated activities
Effective Date: 22nd June 2006
-
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
-
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
-
PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
Chapter: Authorisation and regulated activities
Effective Date: 15th September 2005
-
PERG 2.5 Investments and activities: general
Chapter: Authorisation and regulated activities
Effective Date: 28th September 2006
-
SUP 16.12 Integrated Regulatory Reporting
Chapter: Reporting requirements
Effective Date: 21st December 2006
-
DISP 2.7 Is the complainant eligible?
Chapter: Jurisdiction of the Financial Ombudsman Service
Effective Date: 27th March 2008
-
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
-
SYSC 1.4 Application of SYSC 11 to SYSC 18
Chapter: Application and purpose
Effective Date: 23rd November 2006
-
DISP 2.5 To which activities does the Voluntary Jurisdiction apply?
Chapter: Jurisdiction of the Financial Ombudsman Service
Effective Date: 15th December 2005
-
SYSC 5.1 Skills, knowledge and expertise
Chapter: Employees, agents and other relevant persons [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]Employees, agents and other relevant persons
Effective Date: 23rd November 2006
-
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