To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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REC 4.2B Exercise of passport rights by a UK RIE [deleted]
Chapter: Supervision
Effective Date: 25th January 2007
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REC 3.14A Operation of a trading venue
Chapter: Notification rules for UK recognised bodies
Effective Date: 25th January 2007
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FEES 4.4 Information on which fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
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REC 4.2D Suspension and removal of financial instruments from trading by the FCA
Chapter: Supervision
Effective Date: 25th January 2007
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SUP 18.4 Friendly Society transfers and amalgamations
Chapter: Transfers of business
Effective Date: 28th March 2019
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MAR 10.4 Position reporting
Chapter: Commodity derivative position limits and controls, and position reporting
Effective Date: 3rd July 2017
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REC 2.5 Systems and controls, algorithmic trading and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
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SUP 18.2 Insurance business transfers
Chapter: Transfers of business
Effective Date: 18th November 2004
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REC 5.2 Application process
Chapter: Applications for Recognition (UK recognised bodies)
Effective Date: 25th January 2007
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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
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REC 6A.2 Removal of passport rights from EEA market operator
Chapter: EEA market operators in the United KingdomEEA market operators in the United Kingdom [deleted]
Effective Date: 25th January 2007
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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
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REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
Chapter: Recognition requirements
Effective Date: 25th January 2007
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SUP 11.3 Requirements on controllers or proposed controllers under the Act
Chapter: Controllers and close links
Effective Date: 20th September 2001
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REC 4.5 FCA supervision of action by UK RIEs under their default rules
Chapter: Supervision
Effective Date: 19th March 2013
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COLL 6.12 Risk management policy and risk measurement
Chapter: Operating duties and responsibilities
Effective Date: 1st July 2011
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SUP 16.23 Annual Financial Crime Report
Chapter: Reporting requirements
Effective Date: 29th July 2016
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PERG 5.12 Link between activities and the United Kingdom
Chapter: Guidance on insurance distribution activitiesGuidance on insurance mediation activities
Effective Date: 15th December 2005