To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
REC 3.14 Products, services and normal hours of operation
Chapter: Notification rules for UK recognised bodies
Effective Date: 25th January 2007
-
REC 2.5 Systems and controls, algorithmic trading and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
REC 3.15 Suspension of services and inability to operate facilities
Chapter: Notification rules for UK recognised bodies
Effective Date: 25th January 2007
-
REC 3.14A Operation of a trading venue
Chapter: Notification rules for UK recognised bodies
Effective Date: 25th January 2007
-
REC 3.8 Financial and other information
Chapter: Notification rules for UK recognised bodies
Effective Date: 19th March 2013
-
REC 3.20 Disciplinary action relating to members
Chapter: Notification rules for UK recognised bodies
Effective Date: 19th March 2013
-
REC 4.5 FCA supervision of action by UK RIEs under their default rules
Chapter: Supervision
Effective Date: 19th March 2013
-
REC 5.2 Application process
Chapter: Applications for Recognition (UK recognised bodies)
Effective Date: 25th January 2007
-
REC 3.18 Membership
Chapter: Notification rules for UK recognised bodies
Effective Date: 22nd July 2010
-
SYSC 19A.3 Remuneration principles for IFPRU investment firms
Chapter: Remuneration Code
Effective Date: 2nd November 2011
-
REC 3.4 Members of the management body and internal organisation
Chapter: Notification rules for UK recognised bodies
Effective Date: 25th January 2007
-
REC 3.6 Constitution and governance
Chapter: Notification rules for UK recognised bodies
Effective Date: 19th March 2013
-
SYSC 5.2 Certification regime
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
-
REC 3.3 Waivers
Chapter: Notification rules for UK recognised bodies
Effective Date: 19th March 2013
-
REC 6.7 Notification rules for overseas recognised bodies
Chapter: Overseas Investment Exchanges and Overseas Clearing Houses
Effective Date: 19th March 2013
-
REC 2.13 Promotion and maintenance of standards
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
REC 3.16 Information technology systems
Chapter: Notification rules for UK recognised bodies
Effective Date: 19th March 2013