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 6.6 Supervision
Chapter: Overseas Investment Exchanges and Overseas Clearing Houses
Effective Date: 19th March 2013
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REC 6.7 Notification rules for overseas recognised bodies
Chapter: Overseas Investment Exchanges and Overseas Clearing Houses
Effective Date: 19th March 2013
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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
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REC 2.5 Systems and controls and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
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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
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CASS 7.13 Segregation of client money
Chapter: Client money : MiFID business rules2008/45
Effective Date: 5th June 2014
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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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CASS 5.5 Segregation and the operation of client money accounts
Chapter: Client money and mandates2007/4: insurance mediation activity
Effective Date: 16th December 2004
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COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 20th January 2005
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SUP 16.12 Integrated Regulatory Reporting
Chapter: Reporting requirements
Effective Date: 21st December 2006
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REC 3.14 Products, services and normal hours of operation
Chapter: Notification rules for UK recognised bodies
Effective Date: 25th January 2007
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CASS 7.11 Treatment of client money
Chapter: Client money : MiFID business rules2008/45
Effective Date: 5th June 2014
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DISP 1.11 The Society of Lloyd's
Chapter: Complaint handling procedures for firms
Effective Date: 28th January 2010
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SYSC 3.2 Areas covered by systems and controls
Chapter: Systems and controlsSystems and Controls
Effective Date: 21st November 2002
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SYSC 4.8 Senior management responsibilities for third-country relevant authorised persons: allocation of responsibilities
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
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REC 3.1 Application and purpose
Chapter: Notification rules for UK recognised bodies
Effective Date: 21st December 2011
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EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action
Chapter: TOPIC TITLE
Effective Date: 26th February 2016
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PERG 8.14 Other financial promotions
Chapter: Financial promotion and related activities
Effective Date: 15th September 2005