To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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SUP 5.1 Application and purpose
Chapter: Reports by skilled persons
Effective Date: 20th September 2001
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REC 6.7 Notification rules for overseas recognised bodies
Chapter: Overseas Investment Exchanges and Overseas Clearing Houses
Effective Date: 21st June 2001
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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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LR 9.2 Requirements with continuing application
Chapter: Continuing obligations
Effective Date: 21st December 2006
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REC 5.2 Application process
Chapter: Applications for Recognition (UK recognised bodies)
Effective Date: 21st June 2001
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SUP 8.3 Applying for a waiver
Chapter: Waiver and modification of rules
Effective Date: 19th September 2002
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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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SUP 15.2 Purpose
Chapter: Notifications to the FCANotifications to the FSANotifications to the FCA or PRAFCA_2013_16_PRA_2013/11
Effective Date: 17th March 2005
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SUP 3.10 Duties of auditors: notification and report on client assets
Chapter: Auditors
Effective Date: 18th March 2004
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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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COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
Chapter: Operating duties and responsibilities
Effective Date: 21st April 2005
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COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 20th January 2005
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SUP 12.1 Application and purpose
Chapter: Appointed representatives
Effective Date: 15th January 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
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PERG 9.1 Application and Purpose
Chapter: Meaning of open-ended investment company
Effective Date: 1st July 2005
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SUP 2.1 Application and purpose
Chapter: Information gathering by the FSA on its own initiative Information gathering by the appropriate regulator on its own initiativeFCA 2014/14Information gathering by the FCA or PRA on its own initiativeFCA 2014/21
Effective Date: 20th March 2003