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: 25th October 2007
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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 Assessing and maintaining competence
Chapter: Rules and GuidanceCompetence
Effective Date: 19th September 2002
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CREDS 2.2 General provisions
Chapter: Senior management arrangements, systems and controls
Effective Date: 8th January 2012
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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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SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents
Chapter: Appointed representatives
Effective Date: 20th September 2001
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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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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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APER 4.5 Statement of Principle 5
Chapter: Code of Practice for Approved Persons: specific
Effective Date: 25th September 2008
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DEPP 4.1 Executive decision maker
Chapter: Decisions by FSA staff under executive procedures
Effective Date: 26th July 2007
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FIT 2.1 Honesty, integrity and reputation
Chapter: Main assessment criteria
Effective Date: 18th December 2003
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CASS 1A.3 Responsibility for CASS operational oversight
Chapter: CASS firm classification and operational oversight
Effective Date: 13th October 2010
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REC 2.5 Systems and controls and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004