To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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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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COBS 6.2A Describing advice services
Chapter: Information about the firm, its services and remuneration
Effective Date: 25th March 2010
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SYSC 4.5 Management responsibilities maps for UK relevant authorised persons
Chapter: Guidance on Public Interest Disclosure Act: WhistleblowingGeneral organisational requirements [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]2006/50General organisational requirements
Effective Date: 23rd June 2015
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RCB 2.3 Determination of registration
Chapter: Applications for registration
Effective Date: 8th December 2011
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ICOBS 8.4 Employers’ Liability Insurance
Chapter: Claims handling
Effective Date: 24th February 2011
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SUP 16.23 Annual Financial Crime Report
Chapter: Reporting requirements
Effective Date: 29th July 2016
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DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?
Chapter: Jurisdiction of the Financial Ombudsman Service
Effective Date: 27th March 2008
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CASS 6.6 Records, accounts and reconciliations
Chapter: Custody : MiFID business rules2008/45
Effective Date: 5th June 2014
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SYSC 4.6 Management responsibilities maps for non-UK relevant authorised persons
Chapter: Guidance on Public Interest Disclosure Act: WhistleblowingGeneral organisational requirements [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]2006/50General organisational requirements
Effective Date: 23rd June 2015
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TC 2.1 Assessing and maintaining competence
Chapter: Rules and GuidanceCompetence
Effective Date: 19th September 2002
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CASS 7.13 Segregation of client money
Chapter: Client money : MiFID business rules2008/45
Effective Date: 5th June 2014
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CASS 11.11 Records, accounts and reconciliations
Chapter: Debt management client money chapter
Effective Date: 27th March 2014
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REC 2.5 Systems and controls and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
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MCOB 2.8 Record keeping
Chapter: Conduct of business standards: general
Effective Date: 25th October 2006
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CASS 7.15 Records, accounts and reconciliations
Chapter: Client money : MiFID business rules2008/45
Effective Date: 26th June 2014
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DTR 8.4 Continuing obligations
Chapter: Primary Information Providers
Effective Date: 31st January 2014
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CREDS 2.2 General provisions
Chapter: Senior management arrangements, systems and controls
Effective Date: 21st March 2012