To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
MAR 10.4 Position reporting
Chapter: Commodity derivative position limits and controls, and position reporting
Effective Date: 3rd July 2017
-
DISP 1.1A Complaints handling requirements for MiFID complaints
Chapter: Complaint handling procedures for firms
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
-
MAR 5A.5 Systems and controls for algorithmic trading
Chapter: Organised trading facilities (OTFs)
Effective Date: 3rd July 2017
-
MAR 7A.3 Requirements for algorithmic trading
Chapter: Algorithmic trading
Effective Date: 3rd July 2017
-
SYSC 10A.1 Application
Chapter: Recording telephone conversations and electronic communications
Effective Date: 3rd July 2017
-
EG 19.34 Markets in Financial Instruments Regulations 2017
Chapter: TOPIC TITLE
Effective Date: 8th December 2017
-
SUP App 3.6 Freedom to provide services
Chapter: Guidance on passporting issuesGuidance on passporting issues [deleted]
Effective Date: 20th May 2004
-
MAR 9.1 Application, approach and structure
Chapter: Data reporting service
Effective Date: 3rd July 2017
-
MAR 10.1 Application
Chapter: Commodity derivative position limits and controls, and position reporting
Effective Date: 3rd July 2017
-
MAR 10.3 Position management controls
Chapter: Commodity derivative position limits and controls, and position reporting
Effective Date: 3rd July 2017
-
MAR 10.5 Other reporting, notifications and information requirements
Chapter: Commodity derivative position limits and controls, and position reporting
Effective Date: 3rd July 2017
-
REC 2.5 Systems and controls, algorithmic trading and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
SYSC 4.6
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: 23rd June 2015
-
SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation
Chapter: Guidance on Public Interest Disclosure Act: Whistleblowing
Effective Date: 3rd July 2017
-
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
-
MAR 10.2 Position limit requirements
Chapter: Commodity derivative position limits and controls, and position reporting
Effective Date: 3rd July 2017
-
MAR 6.1 Application
Chapter: Systematic internalisersSystematic Internalisers
Effective Date: 25th January 2007