To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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MIPRU 2.3 Knowledge, ability and good repute
Chapter: Insurance mediation activity: responsibility, knowledge, ability and good reputeInsurance and MCD mediation activity: responsibility, knowledge, ability and good repute
Effective Date: 26th July 2007
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SUP 16.23 Annual Financial Crime Report
Chapter: Reporting requirements
Effective Date: 29th July 2016
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SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
Chapter: Appointed representatives
Effective Date: 15th January 2004
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SYSC 3.2 Areas covered by systems and controls
Chapter: Systems and controlsSystems and Controls
Effective Date: 21st November 2002
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PERG 5.12 Link between activities and the United Kingdom
Chapter: Guidance on insurance distribution activitiesGuidance on insurance mediation activities
Effective Date: 15th December 2005
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SUP 15.13 Notification by CBTL firms
Chapter: Notifications to the FCANotifications to the FSANotifications to the FCA or PRAFCA_2013_16_PRA_2013/11
Effective Date: 21st March 2016
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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
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SYSC 5.2 Certification regime
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
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FIT 2.1 Honesty, integrity and reputation
Chapter: Main assessment criteria
Effective Date: 18th December 2003
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SYSC 4.8 Senior management responsibilities for third-country relevant authorised persons: allocation of responsibilities
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
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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
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SUP 16.12 Integrated Regulatory Reporting
Chapter: Reporting requirements
Effective Date: 21st December 2006
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COBS 6.1A Adviser charging and remuneration
Chapter: Information about the firm, its services and remuneration
Effective Date: 25th March 2010
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SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents
Chapter: Appointed representatives
Effective Date: 20th September 2001
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PERG 5.2 Introduction
Chapter: Guidance on insurance distribution activitiesGuidance on insurance mediation activities
Effective Date: 15th December 2005