To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
REC 5.2 Application process
Chapter: Applications for Recognition (UK recognised bodies)
Effective Date: 21st June 2001
-
SYSC 3.2 Areas covered by systems and controls
Chapter: Systems and controlsSystems and Controls
Effective Date: 21st November 2002
-
SUP 6.3 Applications for variation of permission
Chapter: Applications to vary and cancel Part IV permissionApplications to vary and cancel Part 4A permission and to impose, vary or cancel requirements
Effective Date: 20th December 2001
-
SUP 18.2 Insurance business transfers
Chapter: Transfers of business
Effective Date: 18th November 2004
-
SUP 6.4 Applications for cancellation of permission
Chapter: Applications to vary and cancel Part IV permissionApplications to vary and cancel Part 4A permission and to impose, vary or cancel requirements
Effective Date: 15th January 2004
-
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
-
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
Chapter: Appointed representatives
Effective Date: 15th January 2004
-
REC 2.2 Method of satisfying the recognition requirements
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
SYSC 4.1 Application and purpose
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: 21st March 2002
-
REC 2.6 General safeguards for investors
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
REC 4.5 FSA supervision of action by UK recognised bodies under their default rules
Chapter: Supervision
Effective Date: 21st June 2001
-
DISP 1.1 Application and Purpose
Chapter: Complaint handling procedures for firms
Effective Date: 20th December 2001
-
SUP 13.4 Providing cross border services into another EEA State
Chapter: Exercise of passport rights by UK firmsExercise of passport rights by UK firms [deleted]
Effective Date: 18th October 2001
-
COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 1st April 2004
-
SUP 6.2 Introduction
Chapter: Applications to vary and cancel Part IV permissionApplications to vary and cancel Part 4A permission and to impose, vary or cancel requirements
Effective Date: 21st June 2001