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 Notification of establishment of an ATS
Chapter: Alternative Trading SystemsMultilateral trading facilities (MTFs)
Effective Date: 1st December 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
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REC 2.6 General safeguards for investors
Chapter: Recognition requirements
Effective Date: 15th July 2004
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COB 11.2 Relationship with the scheme
Chapter: Trustee and depositary activities
Effective Date: 17th July 2003
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SYSC 4.1 Application and purpose
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: 21st March 2002
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SUP App 3.9 Mapping of the Investment Services Directive , Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order
Chapter: Guidance on passporting issuesGuidance on passporting issues [deleted]
Effective Date: 20th May 2004
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TC 2.1 Application: who? where? and what?
Chapter: Rules and GuidanceCompetence
Effective Date: 19th September 2002
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REC 3.15 Suspension of services and inability to operate facilities
Chapter: Notification rules for UK recognised bodies
Effective Date: 21st June 2001
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COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes
Chapter: Investment and borrowing powers
Effective Date: 1st April 2004
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SYSC 4.2 Practical measures
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: 1st May 2002
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SUP 14.1 Application and purpose
Chapter: Incoming EEA firms changing details, and cancelling qualification for authorisationIncoming EEA firms changing details, and cancelling qualification for authorisation [deleted]
Effective Date: 20th September 2001
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SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
Chapter: Appointed representatives
Effective Date: 15th January 2004
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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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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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ICOB 8.4 Unsolicited services
Chapter: Distance non-investment mediation contracts with retail customers
Effective Date: 15th April 2004