To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
REC 2.6 General safeguards for investors
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
SYSC 4.1 Application and purpose
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
-
COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 1st April 2004
-
SYSC 3.2 Areas covered by systems and controls
Chapter: Systems and controlsSystems and Controls
Effective Date: 21st November 2002
-
REC 2.2 Method of satisfying the recognition requirements
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
SUP App 3.9 Mapping of the Investment Services Directive and Banking Consolidation Directive to the Regulated Activities Order
Chapter: Guidance on passporting issuesGuidance on passporting issues [deleted]
Effective Date: 20th May 2004
-
REC 5.2 Application process
Chapter: Applications for Recognition (UK recognised bodies)
Effective Date: 21st June 2001
-
COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes
Chapter: Investment and borrowing powers
Effective Date: 1st April 2004
-
REC 3.4 Key individuals and internal organisation
Chapter: Notification rules for UK recognised bodies
Effective Date: 21st June 2001
-
SUP 18.2 Insurance business transfers
Chapter: Transfers of business
Effective Date: 18th November 2004
-
REC 3.14 Products, services and normal hours of operation
Chapter: Notification rules for UK recognised bodies
Effective Date: 21st June 2001
-
REC 3.15 Suspension of services and inability to operate facilities
Chapter: Notification rules for UK recognised bodies
Effective Date: 21st June 2001
-
SUP 18.4 Friendly Society transfers and amalgamations
Chapter: Transfers of business
Effective Date: 21st June 2001
-
MAR 5.3 Notification of establishment of an ATS
Chapter: Alternative Trading SystemsMultilateral trading facilities (MTFs)
Effective Date: 1st December 2004
-
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