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
-
COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 20th January 2005
-
FEES 4.4 Information on which Fees are calculated
Chapter: Periodic fees
Effective Date: 1st January 2006
-
PERG 2.6 Specified investments: a broad outline
Chapter: Authorisation and regulated activities
Effective Date: 15th September 2005
-
LR 9.2 Requirements with continuing application
Chapter: Continuing obligations
Effective Date: 21st December 2006
-
GENPRU 2.2 Capital resources
Chapter: Capital [deleted]FCA 2021/39Capital
Effective Date: 21st December 2006
-
REC 2.8 Settlement and clearing services
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
-
FEES 3.2 Obligation to pay fees
Chapter: Application, Notification and Vetting Fees
Effective Date: 25th May 2006
-
REC 5.2 Application process
Chapter: Applications for Recognition (UK recognised bodies)
Effective Date: 21st June 2001
-
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
-
REC 3.14 Products, services and normal hours of operation
Chapter: Notification rules for UK recognised bodies
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
-
REC 2.13 Promotion and maintenance of standards
Chapter: Recognition requirements
Effective Date: 15th July 2004