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 5.4 Requirements to be imposed on the Part IV permission of an ATS operator
Chapter: Alternative Trading SystemsMultilateral trading facilities (MTFs)
Effective Date: 1st December 2004
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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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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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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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COB 11.2 Relationship with the scheme
Chapter: Trustee and depositary activities
Effective Date: 17th July 2003
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MAR 1.3 Market abuse (insider dealing)
Chapter: The Code of Market ConductThe Code of Market Conduct
Effective Date: 1st December 2001
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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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REC 2.6 General safeguards for investors
Chapter: Recognition requirements
Effective Date: 15th July 2004
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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
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COB 11.3 Packaged products
Chapter: Trustee and depositary activities
Effective Date: 18th November 2004
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REC 3.14 Products, services and normal hours of operation
Chapter: Notification rules for UK recognised bodies
Effective Date: 21st June 2001
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SUP App 3.3 Background
Chapter: Guidance on passporting issuesGuidance on passporting issues [deleted]
Effective Date: 20th May 2004
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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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REC 3.4 Key individuals and internal organisation
Chapter: Notification rules for UK recognised bodies
Effective Date: 21st June 2001
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SYSC 10.1 Application
Chapter: Conflicts of interest [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]Conflicts of interest
Effective Date: 23rd November 2006
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COB 11.6 Delegation to a permitted third party.
Chapter: Trustee and depositary activities
Effective Date: 1st December 2001
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PERG 2.6 Specified investments: a broad outline
Chapter: Authorisation and regulated activities
Effective Date: 15th September 2005
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SYSC 18.1 Application
Chapter: Guidance on Public Interest Disclosure Act: Whistleblowing
Effective Date: 23rd November 2006