To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
MAR 1.2 Market Abuse: general
Chapter: The Code of Market ConductThe Code of Market Conduct
Effective Date: 20th June 2002
-
MAR 1.3 Market abuse (insider dealing)
Chapter: The Code of Market ConductThe Code of Market Conduct
Effective Date: 1st October 2005
-
MAR 1.4 Market abuse (improper disclosure)
Chapter: The Code of Market ConductThe Code of Market Conduct
Effective Date: 19th July 2001
-
COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 20th January 2005
-
REC 4.2D Suspension and removal of financial instruments from trading
Chapter: Supervision
Effective Date: 25th January 2007
-
TC 2.1 Assessing and maintaining competence
Chapter: Rules and GuidanceCompetence
Effective Date: 19th September 2002
-
REC 2.5 Systems and controls and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
LR 13.5 Financial information in Class 1 Circulars
Chapter: Contents of circulars
Effective Date: 28th June 2007
-
SYSC 3.2 Areas covered by systems and controls
Chapter: Systems and controlsSystems and Controls
Effective Date: 21st November 2002
-
LR 9.2 Requirements with continuing application
Chapter: Continuing obligations
Effective Date: 21st December 2006
-
PERG 13.7 The territorial application of MiFID
Chapter: Guidance on the scope of the Markets in Financial Instruments Directive and the recast Capital Adequacy Directive
Effective Date: 25th October 2007
-
CASS 6.1 Application
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th October 2007
-
LR 14.3 Continuing obligations
Chapter: Secondary listing of overseas companies2009/54Secondary listing of companiesStandard listing (shares)2010/72009/54
Effective Date: 21st December 2006
-
REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
SYSC 5.1 Skills, knowledge and expertise
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 November 2006
-
DTR 5.8 Procedures for the notification and disclosure of major holdings
Chapter: Vote Holder and Issuer Notification Rules
Effective Date: 22nd March 2007
-
MAR 1.6 Market abuse (manipulating transactions)
Chapter: The Code of Market ConductThe Code of Market Conduct
Effective Date: 1st October 2005
-
FEES 4.4 Information on which Fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007