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 8.4 Continuing obligations
Chapter: Primary Information Providers
Effective Date: 31st January 2014
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FEES 4.4 Information on which fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
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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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SUP 16.23 Annual Financial Crime Report
Chapter: Reporting requirements
Effective Date: 29th July 2016
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SUP 18.2 Insurance business transfers
Chapter: Transfers of business
Effective Date: 18th November 2004
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CASS 5.5 Segregation and the operation of client money accounts
Chapter: Client money and mandates2007/4: insurance mediation activity
Effective Date: 16th December 2004
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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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DEPP 2.5 Provision for certain categories of decision
Chapter: Statutory notices and the allocation of decision making
Effective Date: 27th September 2007
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FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)
Chapter: Periodic fees
Effective Date: 23rd March 2006
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ICOBS 8.4 Employers’ Liability Insurance
Chapter: Claims handling
Effective Date: 24th February 2011
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FEES 3.2 Obligation to pay fees
Chapter: Application, Notification and Vetting Fees
Effective Date: 25th May 2006
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SYSC 19D.3 Remuneration principles
Chapter: Dual-regulated firms Remuneration Code
Effective Date: 3rd May 2017
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DISP 1.1 Purpose and application
Chapter: Complaint handling procedures for firms
Effective Date: 20th December 2001
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COLL 11.6 Winding up, merger and division of master UCITS
Chapter: Master-feeder arrangements under the UCITS DirectiveMaster-feeder arrangements for UCITS schemes
Effective Date: 27th June 2013
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RCB 2.3 Determination of registration
Chapter: Applications for registration
Effective Date: 8th December 2011
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SYSC 5.2
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 June 2015
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SYSC 3.2 Areas covered by systems and controls
Chapter: Systems and controlsSystems and Controls
Effective Date: 21st November 2002