To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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MAR 5.3 Trading process requirements
Chapter: Alternative Trading SystemsMultilateral trading facilities (MTFs)
Effective Date: 25th January 2007
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DISP 1.1A Complaints handling requirements for MiFID complaints
Chapter: Complaint handling procedures for firms
Effective Date: 3rd July 2017
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MAR 10.4 Position reporting
Chapter: Commodity derivative position limits and controls, and position reporting
Effective Date: 3rd July 2017
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MAR 5.10 Operation of an SME growth market
Chapter: Alternative Trading SystemsMultilateral trading facilities (MTFs)
Effective Date: 3rd July 2017
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MAR 5.3A Systems and controls for algorithmic trading
Chapter: Alternative Trading SystemsMultilateral trading facilities (MTFs)
Effective Date: 3rd July 2017
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MAR 5A.5 Systems and controls for algorithmic trading
Chapter: Organised trading facilities (OTFs)
Effective Date: 3rd July 2017
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MAR 5A.3 Specific requirements for OTFs
Chapter: Organised trading facilities (OTFs)
Effective Date: 3rd July 2017
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REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
Chapter: Recognition requirements
Effective Date: 25th January 2007
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SYSC 10A.1 Application
Chapter: Recording telephone conversations and electronic communications
Effective Date: 3rd July 2017
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MAR 10.3 Position management controls
Chapter: Commodity derivative position limits and controls, and position reporting
Effective Date: 3rd July 2017
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MAR 7A.3 Requirements for algorithmic trading
Chapter: Algorithmic trading
Effective Date: 3rd July 2017
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MAR 5.2 Purpose
Chapter: Alternative Trading SystemsMultilateral trading facilities (MTFs)
Effective Date: 25th January 2007
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SUP App 3.6 Freedom to provide services
Chapter: Guidance on passporting issuesGuidance on passporting issues [deleted]
Effective Date: 20th May 2004
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MAR 5A.4 Trading process requirements
Chapter: Organised trading facilities (OTFs)
Effective Date: 3rd July 2017
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SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order
Chapter: Guidance on passporting issuesGuidance on passporting issues [deleted]
Effective Date: 20th May 2004
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REC 6A.2 Removal of passport rights from EEA market operator
Chapter: EEA market operators in the United KingdomEEA market operators in the United Kingdom [deleted]
Effective Date: 25th January 2007
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MAR 7A.4 Requirements when providing direct electronic access
Chapter: Algorithmic trading
Effective Date: 3rd July 2017
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MAR 10.5 Other reporting, notifications and information requirements
Chapter: Commodity derivative position limits and controls, and position reporting
Effective Date: 3rd July 2017
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MAR 10.1 Application
Chapter: Commodity derivative position limits and controls, and position reporting
Effective Date: 3rd July 2017
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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