To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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REC 2.6 General safeguards for investors
Chapter: Recognition requirements
Effective Date: 15th July 2004
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FEES 4.4 Information on which Fees are calculated
Chapter: Periodic fees
Effective Date: 1st January 2006
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REC 2.2 Method of satisfying the recognition requirements
Chapter: Recognition requirements
Effective Date: 15th July 2004
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PERG 2.6 Specified investments: a broad outline
Chapter: Authorisation and regulated activities
Effective Date: 15th September 2005
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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 App 3.9 Mapping of the Investment Services Directive , 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
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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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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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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
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PERG 2.7 Activities: a broad outline
Chapter: Authorisation and regulated activities
Effective Date: 22nd June 2006
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REC 3.4 Key individuals and internal organisation
Chapter: Notification rules for UK recognised bodies
Effective Date: 21st June 2001
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FEES 3.2 Obligation to pay fees
Chapter: Application, Notification and Vetting Fees
Effective Date: 25th May 2006
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MAR 5.3 Notification of establishment of an ATS
Chapter: Alternative Trading SystemsMultilateral trading facilities (MTFs)
Effective Date: 1st December 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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REC 2.8 Settlement and clearing services
Chapter: Recognition requirements
Effective Date: 15th July 2004