To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
MAR 5.4 Finalisation of transactions
Chapter: Alternative Trading SystemsMultilateral trading facilities (MTFs)
Effective Date: 25th January 2007
-
MAR 5.3 Trading process requirements
Chapter: Alternative Trading SystemsMultilateral trading facilities (MTFs)
Effective Date: 25th January 2007
-
REC 2.16A Operation of a multilateral trading facility
Chapter: Recognition requirements
Effective Date: 25th January 2007
-
SUP App 3.6 Freedom to provide services
Chapter: Guidance on passporting issuesGuidance on passporting issues [deleted]
Effective Date: 20th May 2004
-
SUP App 3.9 Mapping of MiFID, 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
-
REC 2.5 Systems and controls and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
MAR 1.3 Market abuse (insider dealing)
Chapter: The Code of Market ConductThe Code of Market Conduct
Effective Date: 1st October 2005
-
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
-
REC 3.15 Suspension of services and inability to operate facilities
Chapter: Notification rules for UK recognised bodies
Effective Date: 25th January 2007
-
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
-
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
-
REC 3.14 Products, services and normal hours of operation
Chapter: Notification rules for UK recognised bodies
Effective Date: 25th January 2007
-
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
-
SUP App 3.3 Background
Chapter: Guidance on passporting issuesGuidance on passporting issues [deleted]
Effective Date: 20th May 2004
-
MAR 6.1 Application
Chapter: Systematic internalisersSystematic Internalisers
Effective Date: 25th January 2007
-
COBS 16.2 Occasional reporting
Chapter: Reporting information to clients
Effective Date: 26th July 2007
-
PERG 13.1 Introduction
Chapter: Guidance on the scope of the Markets in Financial Instruments Directive and the recast Capital Adequacy Directive
Effective Date: 22nd March 2007