To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
REC 2.10 Financial crime and market abuse
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
REC 2.6 General safeguards for investors
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
FEES 4.4 Information on which Fees are calculated
Chapter: Periodic fees
Effective Date: 1st January 2006
-
REC 5.2 Application process
Chapter: Applications for Recognition (UK recognised bodies)
Effective Date: 21st June 2001
-
REC 2.2 Method of satisfying the recognition requirements
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
ICOB 8.4 Unsolicited services
Chapter: Distance non-investment mediation contracts with retail customers
Effective Date: 15th April 2004
-
REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing
Chapter: Recognition requirements
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
-
SYSC 3.2 Areas covered by systems and controls
Chapter: Systems and controlsSystems and Controls
Effective Date: 21st November 2002
-
REC 2.13 Promotion and maintenance of standards
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
REC 3.18 Membership
Chapter: Notification rules for UK recognised bodies
Effective Date: 21st June 2001
-
FEES 3.2 Obligation to pay fees
Chapter: Application, Notification and Vetting Fees
Effective Date: 25th May 2006