To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
DTR 2.5 Delaying disclosure of inside information
Chapter: Disclosure and control of inside information by issuers
Effective Date: 1st July 2005
-
DTR 2.2 Disclosure of inside information
Chapter: Disclosure and control of inside information by issuers
Effective Date: 1st July 2005
-
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
-
COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 20th January 2005
-
DTR 2.6 Control of inside information
Chapter: Disclosure and control of inside information by issuers
Effective Date: 1st July 2005
-
MAR 1.3 Market abuse (insider dealing)
Chapter: The Code of Market ConductThe Code of Market Conduct
Effective Date: 1st December 2001
-
ICOB 8.4 Unsolicited services
Chapter: Distance non-investment mediation contracts with retail customers
Effective Date: 15th April 2004
-
REC 2.6 General safeguards for investors
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
LR 5.2 Cancelling listing
Chapter: Suspending, cancelling and restoring listingSuspending, cancelling and restoring listing: All securitiesSuspending, cancelling and restoring listing and reverse takeovers: All securities
Effective Date: 1st July 2005
-
DTR 2.7 Dealing with rumours
Chapter: Disclosure and control of inside information by issuers
Effective Date: 1st July 2005
-
LR 15.2 Requirements for listing
Chapter: Investment entitiesClosed-Ended Investment Funds
Effective Date: 1st July 2005
-
SYSC 3.2 Areas covered by systems and controls
Chapter: Systems and controlsSystems and Controls
Effective Date: 21st November 2002
-
PERG 8.14 Other financial promotions
Chapter: Financial promotion and related activities
Effective Date: 15th September 2005
-
LR 9.2 Requirements with continuing application
Chapter: Continuing obligations
Effective Date: 1st July 2005
-
REC 3.4 Key individuals and internal organisation
Chapter: Notification rules for UK recognised bodies
Effective Date: 21st June 2001