To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
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
-
MAR 6.2 Purpose
Chapter: Systematic internalisersSystematic Internalisers
Effective Date: 1st November 2007
-
DISP 1.1 Purpose and application
Chapter: Complaint handling procedures for firms
Effective Date: 20th December 2001
-
DISP 1.11 The Society of Lloyd's
Chapter: Complaint handling procedures for firms
Effective Date: 28th January 2010
-
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 2.16A 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
-
REC 4.2D Suspension and removal of financial instruments from trading
Chapter: Supervision
Effective Date: 25th January 2007
-
MAR 6.1 Application
Chapter: Systematic internalisersSystematic Internalisers
Effective Date: 25th January 2007
-
SUP 13.6 Changes to branches
Chapter: Exercise of passport rights by UK firmsExercise of passport rights by UK firms [deleted]
Effective Date: 18th October 2001
-
SUP 13A.9 The precautionary measure rule for incoming EEA firms
Chapter: Qualifying for authorisation under the ActQualifying for authorisation under the Act [deleted]
Effective Date: 25th October 2007
-
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
-
DTR 5.4 Aggregation of managed holdings
Chapter: Vote Holder and Issuer Notification Rules
Effective Date: 22nd March 2007
-
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
-
REC 3.4 Key individuals and internal organisation
Chapter: Notification rules for UK recognised bodies
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
-
SUP 15.6 Inaccurate, false or misleading information
Chapter: Notifications to the FCANotifications to the FSANotifications to the FCA or PRAFCA_2013_16_PRA_2013/11
Effective Date: 17th February 2005
-
REC 2.5 Systems and controls and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004