To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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FIT 2.2 Competence and capability
Chapter: Main assessment criteria
Effective Date: 3rd September 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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TC 2.1 Application: who? where? and what?
Chapter: Rules and GuidanceCompetence
Effective Date: 19th September 2002
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SUP 12.6 Continuing obligations of firms with appointed representatives
Chapter: Appointed representatives
Effective Date: 20th September 2001
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CRED 8.3 Version 1 credit unions
Chapter: Capital requirementsCapital2005/67
Effective Date: 17th November 2005
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SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
Chapter: Appointed representatives
Effective Date: 15th January 2004
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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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APER 4.6 Statement of Principle 6
Chapter: Code of Practice for Approved Persons: specific
Effective Date: 1st December 2001
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APER 4.5 Statement of Principle 5
Chapter: Code of Practice for Approved Persons: specific
Effective Date: 1st December 2001
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FIT 2.1 Honesty, integrity and reputation
Chapter: Main assessment criteria
Effective Date: 18th December 2003
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SUP 6.3 Applications for variation of permission
Chapter: Applications to vary and cancel Part IV permissionApplications to vary and cancel Part 4A permission and to impose, vary or cancel requirements
Effective Date: 20th December 2001
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COND 2.5 Threshold condition 5: Suitability
Chapter: The threshold conditions
Effective Date: 15th January 2004
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PERG 8.14 Other financial promotions
Chapter: Financial promotion and related activities
Effective Date: 15th September 2005