To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
REC 2.5 Systems and controls, algorithmic trading and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
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
-
REC 5.2 Application process
Chapter: Applications for Recognition (UK recognised bodies)
Effective Date: 25th January 2007
-
REC 2.13 Promotion and maintenance of standards
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
REC 2.2 Method of satisfying the recognition requirements
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
Chapter: Recognition requirements
Effective Date: 25th January 2007
-
SYSC 4.8
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: 23rd June 2015
-
DISP 1.11 The Society of Lloyd's
Chapter: Complaint handling procedures for firms
Effective Date: 28th January 2010
-
FEES 4.4 Information on which fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
-
DTR 8.4 Continuing obligations
Chapter: Primary Information Providers
Effective Date: 31st January 2014
-
SYSC 4.7
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: 23rd June 2015
-
DEPP 2.5 Provision for certain categories of decision
Chapter: Statutory notices and the allocation of decision making
Effective Date: 27th September 2007
-
REC 4.5 FCA supervision of action by UK RIEs under their default rules
Chapter: Supervision
Effective Date: 19th March 2013