To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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SUP 16.23 Annual Financial Crime Report
Chapter: Reporting requirements
Effective Date: 29th July 2016
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SYSC 19A.3 Remuneration principles for IFPRU investment firms
Chapter: Remuneration Code
Effective Date: 2nd November 2011
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SYSC 19D.3 Remuneration principles
Chapter: Dual-regulated firms Remuneration Code
Effective Date: 3rd May 2017
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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
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SYSC 19C.3 Remuneration principles
Chapter: BIPRU Remuneration Code [deleted]BIPRU Remuneration Code
Effective Date: 27th March 2014
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PERG 8.12 Exemptions applying to all controlled activities
Chapter: Financial promotion and related activities
Effective Date: 15th September 2005
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SUP 16.12 Integrated Regulatory Reporting
Chapter: Reporting requirements
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 4.8
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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BIPRU 8.6 Consolidated capital resources
Chapter: Group risk – consolidation
Effective Date: 21st December 2006
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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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CREDS 2.2 General provisions
Chapter: Senior management arrangements, systems and controls
Effective Date: 21st March 2012
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REC 3.14 Products, services and normal hours of operation
Chapter: Notification rules for UK recognised bodies
Effective Date: 25th January 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 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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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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SUP 10A.9 Significant management functions [deleted]
Chapter: FCA Approved Persons
Effective Date: 27th February 2014
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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