To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
PERG 13.1 Introduction
Chapter: Guidance on the scope of the Markets in Financial Instruments Directive and the recast Capital Adequacy Directive
Effective Date: 22nd March 2007
-
PERG 2.7 Activities: a broad outline
Chapter: Authorisation and regulated activities
Effective Date: 22nd June 2006
-
PERG 2.5 Investments and activities: general
Chapter: Authorisation and regulated activities
Effective Date: 28th September 2006
-
FEES 4.4 Information on which Fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
-
SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order
Chapter: Guidance on passporting issuesGuidance on passporting issues [deleted]
Effective Date: 20th May 2004
-
PERG 13.7 The territorial application of MiFID
Chapter: Guidance on the scope of the Markets in Financial Instruments Directive and the recast Capital Adequacy Directive
Effective Date: 25th October 2007
-
SUP 13A.9 The precautionary measure rule for incoming EEA firms
Chapter: Qualifying for authorisation under the ActQualifying for authorisation under the Act [deleted]
Effective Date: 25th October 2007
-
FEES 3.2 Obligation to pay fees
Chapter: Application, Notification and Vetting Fees
Effective Date: 25th May 2006
-
SUP 16.12 Integrated Regulatory Reporting
Chapter: Reporting requirements
Effective Date: 21st December 2006
-
PERG 13.5 Exemptions from MiFID
Chapter: Guidance on the scope of the Markets in Financial Instruments Directive and the recast Capital Adequacy Directive
Effective Date: 1st November 2007
-
COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 20th January 2005
-
PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
Chapter: Authorisation and regulated activities
Effective Date: 15th September 2005
-
SYSC 1.4 Application of SYSC 11 to SYSC 18
Chapter: Application and purpose
Effective Date: 23rd November 2006
-
SYSC 4.1 General requirements
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: 21st March 2002
-
PERG 2.8 Exclusions applicable to particular regulated activities
Chapter: Authorisation and regulated activities
Effective Date: 15th September 2005
-
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
-
PERG 2.6 Specified investments: a broad outline
Chapter: Authorisation and regulated activities
Effective Date: 15th September 2005
-
PERG 13.3 Investment Services and Activities
Chapter: Guidance on the scope of the Markets in Financial Instruments Directive and the recast Capital Adequacy Directive
Effective Date: 1st November 2007
-
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
-
PERG 10.5 Employers and affinity groups (such as trade unions)
Chapter: Guidance on activities related to pension schemes
Effective Date: 28th September 2006