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 7A.5 Requirements when acting as a general clearing member
Chapter: Algorithmic trading
Effective Date: 3rd July 2017
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DISP 1.1A Complaints handling requirements for MiFID complaints
Chapter: Complaint handling procedures for firms
Effective Date: 3rd July 2017
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MAR 7A.3 Requirements for algorithmic trading
Chapter: Algorithmic trading
Effective Date: 3rd July 2017
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MAR 5.3A Systems and controls for algorithmic trading
Chapter: Alternative Trading SystemsMultilateral trading facilities (MTFs)
Effective Date: 3rd July 2017
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MAR 5A.5 Systems and controls for algorithmic trading
Chapter: Organised trading facilities (OTFs)
Effective Date: 3rd July 2017
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MAR 10.4 Position reporting
Chapter: Commodity derivative position limits and controls, and position reporting
Effective Date: 3rd July 2017
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MAR 7A.4 Requirements when providing direct electronic access
Chapter: Algorithmic trading
Effective Date: 3rd July 2017
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CASS 7.11 Treatment of client money
Chapter: Client money : MiFID business rules2008/45
Effective Date: 5th June 2014
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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
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REC 2.5 Systems and controls, algorithmic trading and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
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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
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SYSC 10A.1 Application
Chapter: Recording telephone conversations and electronic communications
Effective Date: 3rd July 2017
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BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives
Chapter: Market risk
Effective Date: 22nd March 2007
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PERG 2.7 Activities: a broad outline
Chapter: Authorisation and regulated activities
Effective Date: 22nd June 2006
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BIPRU 8.7 Consolidated capital resources requirements
Chapter: Group risk – consolidation
Effective Date: 23rd September 2010
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MAR 5A.3 Specific requirements for OTFs
Chapter: Organised trading facilities (OTFs)
Effective Date: 3rd July 2017
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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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SYSC 6.1 Compliance
Chapter: Compliance, internal audit and financial crime [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]Compliance, internal audit and financial crime
Effective Date: 23rd November 2006