To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
SYSC 19D.3 Remuneration principles
Chapter: Dual-regulated firms Remuneration Code
Effective Date: 3rd May 2017
-
SYSC 19A.3 Remuneration principles for IFPRU investment firms
Chapter: Remuneration Code
Effective Date: 2nd November 2011
-
SYSC 19C.3 Remuneration principles
Chapter: BIPRU Remuneration Code [deleted]BIPRU Remuneration Code
Effective Date: 27th March 2014
-
DTR 6.1 Information requirements for issuers of shares and debt securities
Chapter: Continuing obligations and access to information
Effective Date: 21st December 2006
-
PERG 8.14 Other financial promotions
Chapter: Financial promotion and related activities
Effective Date: 15th September 2005
-
BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives
Chapter: Market risk
Effective Date: 22nd March 2007
-
SUP 15.13 Notification by CBTL firms
Chapter: Notifications to the FCANotifications to the FSANotifications to the FCA or PRAFCA_2013_16_PRA_2013/11
Effective Date: 21st March 2016
-
DTR 5.6 Disclosures by issuers
Chapter: Vote Holder and Issuer Notification Rules
Effective Date: 23rd September 2010
-
SUP 15.3 General notification requirements
Chapter: Notifications to the FCANotifications to the FSANotifications to the FCA or PRAFCA_2013_16_PRA_2013/11
Effective Date: 16th December 2004
-
MAR 8.3 Requirements for benchmark administrators [deleted]
Chapter: Benchmarks
Effective Date: 26th February 2015
-
SUP 11.3 Requirements on controllers or proposed controllers under the Act
Chapter: Controllers and close links
Effective Date: 20th September 2001
-
DTR 5.8 Procedures for the notification and disclosure of major holdings
Chapter: Vote Holder and Issuer Notification Rules
Effective Date: 22nd March 2007
-
TC 2.1 Assessing and maintaining competence
Chapter: Rules and GuidanceCompetence
Effective Date: 19th September 2002
-
COLL 6.9 Independence, names and UCITS business restrictions
Chapter: Operating duties and responsibilities
Effective Date: 23rd February 2006
-
SUP 15.11 Notification of COCON breaches and disciplinary action
Chapter: Notifications to the FCANotifications to the FSANotifications to the FCA or PRAFCA_2013_16_PRA_2013/11
Effective Date: 23rd June 2015
-
SYSC 19E.2 Remuneration policies and practices
Chapter: UCITS Remuneration Code
Effective Date: 3rd February 2016
-
SUP 16.23 Annual Financial Crime Report
Chapter: Reporting requirements
Effective Date: 29th July 2016
-
SYSC 5.2
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 June 2015
-
BIPRU 4.7 The IRB approach: Equity exposures
Chapter: The IRB approach
Effective Date: 22nd March 2007