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 5.2 Application process
Chapter: Applications for Recognition (UK recognised bodies)
Effective Date: 25th January 2007
-
REC 3.4 Members of the management body and internal organisation
Chapter: Notification rules for UK recognised bodies
Effective Date: 25th January 2007
-
REC 3.15 Suspension of services and inability to operate facilities
Chapter: Notification rules for UK recognised bodies
Effective Date: 25th January 2007
-
REC 4.7 The section 297 power to revoke recognition
Chapter: Supervision
Effective Date: 25th January 2007
-
REC 2A.2 Method of satisfying the RAP recognition requirements
Chapter: Recognised Auction PlatformsRecognised Auction Platforms [deleted]Recognised Auction Platforms
Effective Date: 19th March 2013
-
REC 2.2 Method of satisfying the recognition requirements
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
REC 4.6 The section 296 power to give directions
Chapter: Supervision
Effective Date: 25th January 2007
-
REC 3.14 Products, services and normal hours of operation
Chapter: Notification rules for UK recognised bodies
Effective Date: 25th January 2007
-
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
-
REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing
Chapter: Recognition requirements
Effective Date: 23rd November 2006
-
DISP 1.1A Complaints handling requirements for MiFID complaints
Chapter: Complaint handling procedures for firms
Effective Date: 3rd July 2017
-
REC 3.8 Financial and other information
Chapter: Notification rules for UK recognised bodies
Effective Date: 19th March 2013
-
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
Chapter: Recognition requirements
Effective Date: 25th January 2007
-
MAR 10.4 Position reporting
Chapter: Commodity derivative position limits and controls, and position reporting
Effective Date: 3rd July 2017