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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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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MAR 5.5 Parts of the Handbook applicable to the operation of an ATS
Chapter: Alternative Trading SystemsMultilateral trading facilities (MTFs)
Effective Date: 19th June 2003
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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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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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REC 2.6 General safeguards for investors
Chapter: Recognition requirements
Effective Date: 15th July 2004
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MAR 1.3 Behaviour
Chapter: The Code of Market ConductThe Code of Market Conduct
Effective Date: 1st December 2001
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MAR 1.2 The regular user test
Chapter: The Code of Market ConductThe Code of Market Conduct
Effective Date: 20th June 2002
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APER 4.7 Statement of Principle 7
Chapter: Code of Practice for Approved Persons: specific
Effective Date: 1st December 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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REC 3.4 Key individuals and internal organisation
Chapter: Notification rules for UK recognised bodies
Effective Date: 21st June 2001
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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 3.21 Criminal offences and civil prohibitions
Chapter: Notification rules for UK recognised bodies
Effective Date: 21st June 2001
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SUP 13.7 Changes to cross border services
Chapter: Exercise of passport rights by UK firmsExercise of passport rights by UK firms [deleted]
Effective Date: 21st June 2001