To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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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
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COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products
Chapter: fConduct of business obligations
Effective Date: 26th July 2007
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COCON 4.1 Specific guidance on individual conduct rules
Chapter: Code of Conduct (COCON)
Effective Date: 23rd June 2015
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APER 4.1 Statement of Principle 1
Chapter: Code of Practice for Approved Persons: specific
Effective Date: 15th September 2005
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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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MCOB 5.6 Content of illustrations
Chapter: Pre-application disclosure
Effective Date: 19th February 2004
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CASS 7.11 Treatment of client money
Chapter: Client money : MiFID business rules2008/45
Effective Date: 5th June 2014
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MCOB 9.4 Content of illustrations
Chapter: Lifetime Mortgage: product disclosure2006/45Equity release: product disclosure
Effective Date: 19th February 2004
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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
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CONC 7.3 Treatment of customers in default or arrears (including repossessions): lenders, owners and debt collectors
Chapter: Arrears, default and recovery (including repossessions)
Effective Date: 26th June 2014
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COBS 11.2 Best execution for AIFMs and residual CIS operators
Chapter: Dealing and managing
Effective Date: 26th July 2007
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COBS 6.1E Platform services: platform charges and using a platform service for advising
Chapter: Information about the firm, its services and remuneration
Effective Date: 28th July 2011
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CASS 6.1 Application
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th October 2007
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CASS 7.19 Clearing member client money sub-pools
Chapter: Client money : MiFID business rules2008/45
Effective Date: 5th June 2014
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PRIN 4.1 Principles: MiFID business
Chapter: Principles: MiFID business
Effective Date: 25th October 2007
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CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments
Chapter: Shares, deposits and borrowing
Effective Date: 9th December 2016