To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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DEPP 2.5 Provision for certain categories of decision
Chapter: Statutory notices and the allocation of decision making
Effective Date: 27th September 2007
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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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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
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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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LR 9.2 Requirements with continuing application
Chapter: Continuing obligations
Effective Date: 21st December 2006
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ICOBS 8.4 Employers’ Liability Insurance
Chapter: Claims handling
Effective Date: 24th February 2011
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SYSC 5.2 Certification regime
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
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SUP 18.2 Insurance business transfers
Chapter: Transfers of business
Effective Date: 18th November 2004
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DEPP 5.1 Settlement decision makers
Chapter: Settlement decision procedure
Effective Date: 26th July 2007
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SYSC 4.8 Senior management responsibilities for third-country relevant authorised persons: allocation of responsibilities
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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FEES 4.4 Information on which fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
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EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action
Chapter: TOPIC TITLE
Effective Date: 26th February 2016
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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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REC 2.5 Systems and controls and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
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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