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 2.5 Systems and controls, algorithmic trading and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
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REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
Chapter: Recognition requirements
Effective Date: 15th July 2004
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MAR 5A.5 Systems and controls for algorithmic trading
Chapter: Organised trading facilities (OTFs)
Effective Date: 3rd July 2017
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FEES 4.4 Information on which fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
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MAR 10.4 Position reporting
Chapter: Commodity derivative position limits and controls, and position reporting
Effective Date: 3rd July 2017
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MAR 5.3A Systems and controls for algorithmic trading
Chapter: Alternative Trading SystemsMultilateral trading facilities (MTFs)
Effective Date: 3rd July 2017
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SUP 16.23 Annual Financial Crime Report
Chapter: Reporting requirements
Effective Date: 29th July 2016
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REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
Chapter: Recognition requirements
Effective Date: 25th January 2007
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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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DISP 1.1A Complaints handling requirements for MiFID complaints
Chapter: Complaint handling procedures for firms
Effective Date: 3rd July 2017
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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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MAR 7A.3 Requirements for algorithmic trading
Chapter: Algorithmic trading
Effective Date: 3rd July 2017
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SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD 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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PERG 2.6 Specified investments: a broad outline
Chapter: Authorisation and regulated activities
Effective Date: 15th September 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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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