To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
DTR 5.4 Aggregation of managed holdings
Chapter: Vote Holder and Issuer Notification Rules
Effective Date: 22nd March 2007
-
COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 20th January 2005
-
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
-
DISP 1.1A Complaints handling requirements for MiFID complaints
Chapter: Complaint handling procedures for firms
Effective Date: 3rd July 2017
-
DTR 5.8 Procedures for the notification and disclosure of major holdings
Chapter: Vote Holder and Issuer Notification Rules
Effective Date: 22nd March 2007
-
SYSC 10A.1 Application
Chapter: Recording telephone conversations and electronic communications
Effective Date: 3rd July 2017
-
MAR 5.3A Systems and controls for algorithmic trading
Chapter: Alternative Trading SystemsMultilateral trading facilities (MTFs)
Effective Date: 3rd July 2017
-
MAR 10.4 Position reporting
Chapter: Commodity derivative position limits and controls, and position reporting
Effective Date: 3rd July 2017
-
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
Chapter: Vote Holder and Issuer Notification Rules
Effective Date: 21st December 2006
-
MAR 5A.5 Systems and controls for algorithmic trading
Chapter: Organised trading facilities (OTFs)
Effective Date: 3rd July 2017
-
DTR 6.1 Information requirements for issuers of shares and debt securities
Chapter: Continuing obligations and access to information
Effective Date: 21st December 2006
-
COLL 6.12 Risk management policy and risk measurement
Chapter: Operating duties and responsibilities
Effective Date: 1st July 2011
-
DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments
Chapter: Vote Holder and Issuer Notification Rules
Effective Date: 26th February 2009
-
SUP 16.23 Annual Financial Crime Report
Chapter: Reporting requirements
Effective Date: 29th July 2016
-
SUP App 3.6 Freedom to provide services
Chapter: Guidance on passporting issuesGuidance on passporting issues [deleted]
Effective Date: 20th May 2004
-
COBS 11.2 Best execution for AIFMs and residual CIS operators
Chapter: Dealing and managing
Effective Date: 26th July 2007
-
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
-
FEES 4.4 Information on which fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
-
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 19D.3 Remuneration principles
Chapter: Dual-regulated firms Remuneration Code
Effective Date: 3rd May 2017