To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
FIT 2.2 Competence and capability
Chapter: Main assessment criteria
Effective Date: 3rd September 2001
-
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
-
TC 2.1 Application: who? where? and what?
Chapter: Rules and GuidanceCompetence
Effective Date: 19th September 2002
-
SUP 12.6 Continuing obligations of firms with appointed representatives
Chapter: Appointed representatives
Effective Date: 20th September 2001
-
CRED 8.3 Version 1 credit unions
Chapter: Capital requirementsCapital2005/67
Effective Date: 17th November 2005
-
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
-
SYSC 3.2 Areas covered by systems and controls
Chapter: Systems and controlsSystems and Controls
Effective Date: 21st November 2002
-
APER 4.6 Statement of Principle 6
Chapter: Code of Practice for Approved Persons: specific
Effective Date: 1st December 2001
-
DEPP 2.5 Provision for certain categories of decision
Chapter: Statutory notices and the allocation of decision making
Effective Date: 28th August 2007
-
APER 4.5 Statement of Principle 5
Chapter: Code of Practice for Approved Persons: specific
Effective Date: 1st December 2001
-
DEPP 4.1 Executive decision maker
Chapter: Decisions by FSA staff under executive procedures
Effective Date: 26th July 2007
-
FIT 2.1 Honesty, integrity and reputation
Chapter: Main assessment criteria
Effective Date: 18th December 2003
-
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