To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)
Chapter: Recognition requirements
Effective Date: 25th January 2007
-
REC 2.5 Systems and controls, algorithmic trading and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
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
-
REC 6.3 Recognition requirements
Chapter: Overseas Investment Exchanges and Overseas Clearing Houses
Effective Date: 15th July 2004
-
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
-
DISP 1.1A Complaints handling requirements for MiFID complaints
Chapter: Complaint handling procedures for firms
Effective Date: 3rd July 2017
-
SUP 16.12 Integrated Regulatory Reporting
Chapter: Reporting requirements
Effective Date: 21st December 2006
-
FEES 4.4 Information on which fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
-
SUP 16.23 Annual Financial Crime Report
Chapter: Reporting requirements
Effective Date: 29th July 2016
-
MAR 10.4 Position reporting
Chapter: Commodity derivative position limits and controls, and position reporting
Effective Date: 3rd July 2017
-
EG 19.34 Markets in Financial Instruments Regulations 2017
Chapter: TOPIC TITLE
Effective Date: 8th December 2017
-
REC 6.7 Notification rules for overseas recognised bodies
Chapter: Overseas Investment Exchanges and Overseas Clearing Houses
Effective Date: 19th March 2013
-
FEES 3.2 Obligation to pay fees
Chapter: Application, Notification and Vetting Fees
Effective Date: 25th May 2006
-
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
-
REC 4.7 The section 297 power to revoke recognition
Chapter: Supervision
Effective Date: 25th January 2007