To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
DISP 1.1 Application and Purpose
Chapter: Complaint handling procedures for firms
Effective Date: 20th December 2001
-
SUP 15.3 General notification requirements
Chapter: Notifications to the FCANotifications to the FSANotifications to the FCA or PRAFCA_2013_16_PRA_2013/11
Effective Date: 16th December 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
-
DISP 3.6 Time limits
Chapter: Complaint handling procedures of the Financial Ombudsman Service
Effective Date: 1st April 2002
-
DISP 3.7 Delegation of the Ombudsman's powers
Chapter: Complaint handling procedures of the Financial Ombudsman Service
Effective Date: 1st April 2002
-
DISP 2.1 Application and Purpose
Chapter: Jurisdiction of the Financial Ombudsman Service
Effective Date: 17th July 2003
-
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
-
SYSC 3.2 Areas covered by systems and controls
Chapter: Systems and controlsSystems and Controls
Effective Date: 21st November 2002
-
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
-
REC 3.4 Key individuals and internal organisation
Chapter: Notification rules for UK recognised bodies
Effective Date: 21st June 2001
-
ICOB 8.4 Unsolicited services
Chapter: Distance non-investment mediation contracts with retail customers
Effective Date: 15th April 2004
-
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
-
DISP 1.4 Time limits for dealing with a complaint
Chapter: Complaint handling procedures for firms
Effective Date: 17th July 2003
-
DISP 1.3 Internal complaint handling procedures: additional requirements
Chapter: Complaint handling procedures for firms
Effective Date: 17th July 2003