To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
MAR 5A.5 Systems and controls for algorithmic trading
Chapter: Organised trading facilities (OTFs)
Effective Date: 3rd July 2017
-
MAR 5.3A Systems and controls for algorithmic trading
Chapter: Alternative Trading SystemsMultilateral trading facilities (MTFs)
Effective Date: 3rd July 2017
-
REC 2.5 Systems and controls, algorithmic trading and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
MAR 7A.3 Requirements for algorithmic trading
Chapter: Algorithmic trading
Effective Date: 3rd July 2017
-
MAR 10.4 Position reporting
Chapter: Commodity derivative position limits and controls, and position reporting
Effective Date: 3rd July 2017
-
SUP 16.23 Annual Financial Crime Report
Chapter: Reporting requirements
Effective Date: 29th July 2016
-
DISP 1.1A Complaints handling requirements for MiFID complaints
Chapter: Complaint handling procedures for firms
Effective Date: 3rd July 2017
-
SYSC 10A.1 Application
Chapter: Recording telephone conversations and electronic communications
Effective Date: 3rd July 2017
-
SYSC 19D.3 Remuneration principles
Chapter: Dual-regulated firms Remuneration Code
Effective Date: 3rd May 2017
-
COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 20th January 2005
-
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
-
PERG 13.7 The territorial application of MiFID [deleted]
Chapter: Guidance on the scope of the Markets in Financial Instruments Directive and the recast Capital Adequacy Directive
Effective Date: 25th October 2007
-
CREDS 2.2 General provisions
Chapter: Senior management arrangements, systems and controls
Effective Date: 21st March 2012
-
SYSC 19A.3 Remuneration principles for IFPRU investment firms
Chapter: Remuneration Code
Effective Date: 2nd November 2011
-
FEES 4.4 Information on which fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
-
SUP 16.12 Integrated Regulatory Reporting
Chapter: Reporting requirements
Effective Date: 21st December 2006
-
SYSC 5.2
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 June 2015
-
SYSC 7.1 Risk control
Chapter: Risk control [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]Risk control
Effective Date: 23rd November 2006
-
PERG 2.7 Activities: a broad outline
Chapter: Authorisation and regulated activities
Effective Date: 22nd June 2006
-
CASS 7.10 Application and purpose
Chapter: Client money : MiFID business rules2008/45
Effective Date: 5th June 2014