To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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DTR 2.5 Delaying disclosure of inside information
Chapter: Disclosure and control of inside information by issuers
Effective Date: 1st July 2005
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DTR 2.2 Disclosure of inside information
Chapter: Disclosure and control of inside information by issuers
Effective Date: 1st July 2005
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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
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DTR 2.6 Control of inside information
Chapter: Disclosure and control of inside information by issuers
Effective Date: 1st July 2005
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COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 20th January 2005
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MAR 1.3 Market abuse (insider dealing)
Chapter: The Code of Market ConductThe Code of Market Conduct
Effective Date: 1st December 2001
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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
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SYSC 7.1 Risk control
Chapter: Risk control [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]Risk control
Effective Date: 23rd November 2006
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ICOB 8.4 Unsolicited services
Chapter: Distance non-investment mediation contracts with retail customers
Effective Date: 15th April 2004
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DTR 6.1 Information requirements for issuers of shares and debt securities
Chapter: Continuing obligations and access to information
Effective Date: 21st December 2006
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FEES 4.4 Information on which Fees are calculated
Chapter: Periodic fees
Effective Date: 1st January 2006
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REC 2.6 General safeguards for investors
Chapter: Recognition requirements
Effective Date: 15th July 2004
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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
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DTR 2.7 Dealing with rumours
Chapter: Disclosure and control of inside information by issuers
Effective Date: 1st July 2005
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LR 15.2 Requirements for listing
Chapter: Investment entitiesClosed-Ended Investment Funds
Effective Date: 1st July 2005