To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
REC 3.6 Constitution and governance
Chapter: Notification rules for UK recognised bodies
Effective Date: 19th March 2013
-
REC 3.14 Products, services and normal hours of operation
Chapter: Notification rules for UK recognised bodies
Effective Date: 25th January 2007
-
REC 5.2 Application process
Chapter: Applications for Recognition (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 3.4 Members of the management body and internal organisation
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 4.5 FCA supervision of action by UK RIEs under their default rules
Chapter: Supervision
Effective Date: 19th March 2013
-
REC 3.14A Operation of a trading venue
Chapter: Notification rules for UK recognised bodies
Effective Date: 25th January 2007
-
LR 9.2 Requirements with continuing application
Chapter: Continuing obligations
Effective Date: 21st December 2006
-
REC 3.26 Proposals to make regulatory provision
Chapter: Notification rules for UK recognised bodies
Effective Date: 6th December 2007
-
REC 3.3 Waivers
Chapter: Notification rules for UK recognised bodies
Effective Date: 19th March 2013
-
REC 3.1 Application and purpose
Chapter: Notification rules for UK recognised bodies
Effective Date: 21st December 2011
-
REC 3.15 Suspension of services and inability to operate facilities
Chapter: Notification rules for UK recognised bodies
Effective Date: 25th January 2007
-
FEES 4.4 Information on which fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
-
REC 3.18 Membership
Chapter: Notification rules for UK recognised bodies
Effective Date: 22nd July 2010
-
LR 14.3 Continuing obligations
Chapter: Secondary listing of overseas companies2009/54Secondary listing of companiesStandard listing (shares)2010/72009/54
Effective Date: 21st December 2006
-
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
-
ICOBS 8.4 Employers’ Liability Insurance
Chapter: Claims handling
Effective Date: 24th February 2011
-
REC 2.13 Promotion and maintenance of standards
Chapter: Recognition requirements
Effective Date: 15th July 2004