To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
DISP 1.11 The Society of Lloyd's
Chapter: Complaint handling procedures for firms
Effective Date: 1st November 2007
-
DISP 1.1 Purpose and application
Chapter: Complaint handling procedures for firms
Effective Date: 20th December 2001
-
FEES 5.1 Application and Purpose
Chapter: Financial Ombudsman Service Funding
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
-
FEES 3.2 Obligation to pay fees
Chapter: Application, Notification and Vetting Fees
Effective Date: 25th May 2006
-
FEES 4.4 Information on which Fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
-
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 To which activities does the Compulsory Jurisdiction apply?
Chapter: Jurisdiction of the Financial Ombudsman Service
Effective Date: 16th January 2003
-
FEES 5.3 The general levy
Chapter: Financial Ombudsman Service Funding
Effective Date: 1st January 2006
-
DISP 1.10 Complaints reporting rules
Chapter: Complaint handling procedures for firms
Effective Date: 6th December 2007
-
DISP 3.7 Awards by the Ombudsman
Chapter: Complaint handling procedures of the Financial Ombudsman Service
Effective Date: 27th March 2008
-
DISP 3.6 Determination by the Ombudsman
Chapter: Complaint handling procedures of the Financial Ombudsman Service
Effective Date: 27th March 2008
-
FEES 5.9 Leaving the Financial Ombudsman Service
Chapter: Financial Ombudsman Service Funding
Effective Date: 1st January 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
-
CASS 6.1 Application
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th October 2007