To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
SUP 16.23 Annual Financial Crime Report
Chapter: Reporting requirements
Effective Date: 29th July 2016
-
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
-
SYSC 5.2
Chapter: Employees, agents and other relevant persons [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]Employees, agents and other relevant persons
Effective Date: 23rd June 2015
-
MAR 10.4 Position reporting
Chapter: Commodity derivative position limits and controls, and position reporting
Effective Date: 3rd July 2017
-
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
Chapter: Recognition requirements
Effective Date: 25th January 2007
-
TC 2.1 Assessing and maintaining competence
Chapter: Rules and GuidanceCompetence
Effective Date: 19th September 2002
-
SYSC 4.6
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
-
SUP 16.12 Integrated Regulatory Reporting
Chapter: Reporting requirements
Effective Date: 21st December 2006
-
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: 27th September 2007
-
DISP 1.1A Complaints handling requirements for MiFID complaints
Chapter: Complaint handling procedures for firms
Effective Date: 3rd July 2017
-
SYSC 5.1 Skills, knowledge and expertise
Chapter: Employees, agents and other relevant persons [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]Employees, agents and other relevant persons
Effective Date: 23rd November 2006
-
SUP 14.1 Application and purpose
Chapter: Incoming EEA firms changing details, and cancelling qualification for authorisationIncoming EEA firms changing details, and cancelling qualification for authorisation [deleted]
Effective Date: 20th September 2001
-
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
-
REC 4.2D Suspension and removal of financial instruments from trading by the FCA
Chapter: Supervision
Effective Date: 25th January 2007
-
SYSC 19D.3 Remuneration principles
Chapter: Dual-regulated firms Remuneration Code
Effective Date: 3rd May 2017
-
MAR 5.3A Systems and controls for algorithmic trading
Chapter: Alternative Trading SystemsMultilateral trading facilities (MTFs)
Effective Date: 3rd July 2017