To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
SYSC 10.1 Application
Chapter: Conflicts of interest [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]Conflicts of interest
Effective Date: 23rd November 2006
-
APER 4.1 Statement of Principle 1
Chapter: Code of Practice for Approved Persons: specific
Effective Date: 15th September 2005
-
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
-
MCOB 5.6 Content of illustrations
Chapter: Pre-application disclosure
Effective Date: 19th February 2004
-
COBS 6.1E Platform service providers
Chapter: Information about the firm, its services and remuneration
Effective Date: 28th July 2011
-
MCOB 9.4 Content of illustrations
Chapter: Lifetime Mortgage: product disclosure2006/45Equity release: product disclosure
Effective Date: 19th February 2004
-
MCOB 2.3 Inducements: regulated mortgage contracts, home reversion plans and regulated sale and rent back agreements
Chapter: Conduct of business standards: general
Effective Date: 16th September 2004
-
CASS 6.1 Application
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th October 2007
-
PRIN 4.1 Principles: MiFID business
Chapter: Principles: MiFID business
Effective Date: 25th October 2007
-
REC 2.5 Systems and controls and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
MCOB 2.6A Protecting customer's interests: home purchase plans, home reversion plans and regulated sale and rent back agreements
Chapter: Conduct of business standards: general
Effective Date: 25th October 2006
-
MCOB 5.4 Mortgage illustrations: general
Chapter: Pre-application disclosure
Effective Date: 19th February 2004
-
CASS 6.2 Holding of client assets
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th January 2007
-
COBS 6.1F Using a platform service for arranging and advising
Chapter: Information about the firm, its services and remuneration
Effective Date: 28th July 2011