To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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PRIN 4.1 Principles: MiFID business
Chapter: Principles: MiFID business
Effective Date: 25th October 2007
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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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GENPRU 2.2 Capital resources
Chapter: Capital [deleted]FCA 2021/39Capital
Effective Date: 21st December 2006
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COND 2.5 Threshold condition 5: Suitability
Chapter: The threshold conditions
Effective Date: 15th January 2004
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REC 2.5 Systems and controls and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
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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
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MCOB 5.6 Content of illustrations
Chapter: Pre-application disclosure
Effective Date: 19th February 2004
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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
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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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FEES 3.2 Obligation to pay fees
Chapter: Application, Notification and Vetting Fees
Effective Date: 25th May 2006