To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
MAR 5.6 Reporting requirements
Chapter: Alternative Trading SystemsMultilateral trading facilities (MTFs)
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 2.5 Systems and controls and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
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
-
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
-
FEES 4.4 Information on which Fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
-
DEPP 7.2 Interviews
Chapter: Statement of policy on section 169(7) interviews
Effective Date: 27th November 2009
-
SUP 16.12 Integrated Regulatory Reporting
Chapter: Reporting requirements
Effective Date: 21st December 2006
-
SYSC 12.1 Application
Chapter: Group risk systems and controls requirements
Effective Date: 23rd November 2006
-
REC 4.2D Suspension and removal of financial instruments from trading
Chapter: Supervision
Effective Date: 25th January 2007
-
SYSC 4.1 General requirements
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
-
SYSC 19C.3 Remuneration principles
Chapter: BIPRU Remuneration Code [deleted]BIPRU Remuneration Code
Effective Date: 1st January 2014
-
MCOB 9.4 Content of illustrations
Chapter: Lifetime Mortgage: product disclosure2006/45Equity release: product disclosure
Effective Date: 19th February 2004
-
REC 2.16A Operation of a multilateral trading facility
Chapter: Recognition requirements
Effective Date: 25th January 2007
-
SUP 13.3 Establishing a branch in another EEA State
Chapter: Exercise of passport rights by UK firmsExercise of passport rights by UK firms [deleted]
Effective Date: 18th October 2001
-
SUP 16.3 General provisions on reporting
Chapter: Reporting requirements
Effective Date: 20th September 2001