To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
REC 3.1 Application and purpose
Chapter: Notification rules for UK recognised bodies
Effective Date: 21st December 2011
-
REC 6.7 Notification rules for overseas recognised bodies
Chapter: Overseas Investment Exchanges and Overseas Clearing Houses
Effective Date: 19th March 2013
-
FEES 4.4 Information on which fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 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 3.3 Waivers
Chapter: Notification rules for UK recognised bodies
Effective Date: 19th March 2013
-
REC 5.2 Application process
Chapter: Applications for Recognition (UK recognised bodies)
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
-
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
-
FEES 3.2 Obligation to pay fees
Chapter: Application, Notification and Vetting Fees
Effective Date: 25th May 2006
-
SUP 10C.14 Changes to an FCA-approved person’s details
Chapter: FCA senior management regime for approved persons in relevant authorised persons
Effective Date: 23rd June 2015
-
REC 2.5 Systems and controls, algorithmic trading and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
REC 3.26 Proposals to make regulatory provision
Chapter: Notification rules for UK recognised bodies
Effective Date: 6th December 2007
-
REC 4.5 FCA supervision of action by UK RIEs under their default rules
Chapter: Supervision
Effective Date: 19th March 2013
-
SUP 10C.10 Application for approval and withdrawing an application for approval
Chapter: FCA senior management regime for approved persons in relevant authorised persons
Effective Date: 23rd June 2015
-
REC 3.8 Financial and other information
Chapter: Notification rules for UK recognised bodies
Effective Date: 19th March 2013
-
REC 4.7 The section 297 power to revoke recognition
Chapter: Supervision
Effective Date: 25th January 2007