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 15.11 Notification of COCON breaches and disciplinary action
Chapter: Notifications to the FCANotifications to the FSANotifications to the FCA or PRAFCA_2013_16_PRA_2013/11
Effective Date: 23rd June 2015
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CREDS 2.2 General provisions
Chapter: Senior management arrangements, systems and controls
Effective Date: 21st March 2012
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SUP 10C.10 Application for approval and withdrawing an application for approval
Chapter: FCA senior management regime for approved persons in relevant authorised persons
Effective Date: 23rd June 2015
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SYSC 5.2
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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REC 6.7 Notification rules for overseas recognised bodies
Chapter: Overseas Investment Exchanges and Overseas Clearing Houses
Effective Date: 19th March 2013
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REC 5.2 Application process
Chapter: Applications for Recognition (UK recognised bodies)
Effective Date: 25th January 2007
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SUP 5.1 Application and purpose
Chapter: Reports by skilled persons
Effective Date: 20th September 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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SYSC 19C.3 Remuneration principles
Chapter: BIPRU Remuneration Code [deleted]BIPRU Remuneration Code
Effective Date: 27th March 2014
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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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SYSC 4.8
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 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?
Chapter: Appointed representatives
Effective Date: 15th January 2004
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SUP 10C.14 Changes to an FCA-approved person’s details
Chapter: FCA senior management regime for approved persons in relevant authorised persons
Effective Date: 23rd June 2015
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LR 9.2 Requirements with continuing application
Chapter: Continuing obligations
Effective Date: 21st December 2006
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COLL 6.12 Risk management policy and risk measurement
Chapter: Operating duties and responsibilities
Effective Date: 1st July 2011
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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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DEPP 2.5 Provision for certain categories of decision
Chapter: Statutory notices and the allocation of decision making
Effective Date: 27th September 2007