To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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CREDS 2.2 General provisions
Chapter: Senior management arrangements, systems and controls
Effective Date: 21st March 2012
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REC 2.5 Systems and controls, algorithmic trading and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
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ICOBS 8.4 Employers’ Liability Insurance
Chapter: Claims handling
Effective Date: 24th February 2011
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PERG 8.37 AIFMD Marketing
Chapter: Financial promotion and related activities
Effective Date: 27th June 2013
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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
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COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 20th January 2005
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PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)
Chapter: Meaning of open-ended investment company
Effective Date: 1st July 2005
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SUP 16.23 Annual Financial Crime Report
Chapter: Reporting requirements
Effective Date: 29th July 2016
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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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REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
Chapter: Recognition requirements
Effective Date: 15th July 2004
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COBS 4.12 [deleted]
Chapter: Communicating with clients, including financial promotions
Effective Date: 25th October 2007
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PERG 8.14 Other financial promotions
Chapter: Financial promotion and related activities
Effective Date: 15th September 2005
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DTR 6.1 Information requirements for issuers of shares and debt securities
Chapter: Continuing obligations and access to information
Effective Date: 21st December 2006
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PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)
Chapter: Meaning of open-ended investment company
Effective Date: 1st July 2005
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SYSC 22.5 Giving references: additional rules and guidance for all firms
Chapter: Regulatory references
Effective Date: 28th September 2016
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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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DTR 5.8 Procedures for the notification and disclosure of major holdings
Chapter: Vote Holder and Issuer Notification Rules
Effective Date: 22nd March 2007
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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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CASS 10.1 Application, purpose and general provisions
Chapter: CASS resolution pack
Effective Date: 31st October 2012