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 7.2 Corporate governance statements
Chapter: Corporate governance
Effective Date: 22nd July 2010
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CREDS 2.2 General provisions
Chapter: Senior management arrangements, systems and controls
Effective Date: 21st March 2012
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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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DTR 4.3A Reports on payments to governments
Chapter: Periodic Financial Reporting
Effective Date: 22nd December 2014
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SUP 16.23 Annual Financial Crime Report
Chapter: Reporting requirements
Effective Date: 29th July 2016
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ICOBS 8.4 Employers’ Liability Insurance
Chapter: Claims handling
Effective Date: 24th February 2011
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SYSC 19D.3 Remuneration principles
Chapter: Dual-regulated firms Remuneration Code
Effective Date: 3rd May 2017
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DTR 4.2 Half-yearly financial reports
Chapter: Periodic Financial Reporting
Effective Date: 6th November 2015
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RCB 2.3 Determination of registration
Chapter: Applications for registration
Effective Date: 8th December 2011
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DTR 6.3 Dissemination of information
Chapter: Continuing obligations and access to information
Effective Date: 27th September 2007
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DTR 4.1 Annual financial report
Chapter: Periodic Financial Reporting
Effective Date: 21st December 2006
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DTR 1B.1 Application and purpose (Corporate governance)
Chapter: Introduction (Corporate governance)
Effective Date: 26th June 2008
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SYSC 19A.3 Remuneration principles for IFPRU investment firms
Chapter: Remuneration Code
Effective Date: 2nd November 2011
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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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SYSC 3.2 Areas covered by systems and controls
Chapter: Systems and controlsSystems and Controls
Effective Date: 21st November 2002
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REC 2.5 Systems and controls, algorithmic trading and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
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SYSC 4.3A Management body and nomination committee
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: 1st January 2014
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RCB 3.2 Annual confirmations of compliance and asset pool monitor
Chapter: Notifications
Effective Date: 8th December 2011