To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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SUP 10A.9 Significant management functions
Chapter: FCA Approved Persons
Effective Date: 27th February 2014
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SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents
Chapter: Appointed representatives
Effective Date: 20th September 2001
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SYSC 4.7 Senior management responsibilities for UK 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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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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SUP 10A.11 Minimising overlap with the PRA approved persons regime
Chapter: FCA Approved Persons
Effective Date: 12th August 2015
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SUP 10C.11 Statements of responsibilities
Chapter: FCA senior management regime for approved persons in relevant authorised persons
Effective Date: 23rd June 2015
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CASS 1A.3 Responsibility for CASS operational oversight
Chapter: CASS firm classification and operational oversight
Effective Date: 13th October 2010
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SUP 10C.9 Minimising overlap with the PRA approved persons regime
Chapter: FCA senior management regime for approved persons in relevant authorised persons
Effective Date: 23rd June 2015
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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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SUP 10A.8 Systems and controls functions
Chapter: FCA Approved Persons
Effective Date: 27th June 2013
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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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SUP 10A.14 Changes to an FCA-approved person's details
Chapter: FCA Approved Persons
Effective Date: 5th June 2014
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SUP 16.23 Annual Financial Crime Report
Chapter: Reporting requirements
Effective Date: 29th July 2016
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SYSC 3.2 Areas covered by systems and controls
Chapter: Systems and controlsSystems and Controls
Effective Date: 21st November 2002