To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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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 10A.9 Significant management functions
Chapter: FCA Approved Persons
Effective Date: 1st April 2013
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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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DEPP 2.5 Provision for certain categories of decision
Chapter: Statutory notices and the allocation of decision making
Effective Date: 27th September 2007
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SYSC 2.1 Apportionment of Responsibilities
Chapter: Senior management arrangements
Effective Date: 19th September 2002
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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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SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements
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
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SYSC 4.1 General requirements
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
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SYSC 6.1 Compliance
Chapter: Compliance, internal audit and financial crime [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]Compliance, internal audit and financial crime
Effective Date: 23rd November 2006
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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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SYSC 4.4 Apportionment 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: 25th September 2008
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SYSC 1.4 Application of SYSC 11 to SYSC 21
Chapter: Application and purpose
Effective Date: 23rd November 2006
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SUP 16.12 Integrated Regulatory Reporting
Chapter: Reporting requirements
Effective Date: 21st December 2006
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SUP 10A.14 Changes to an FCA-approved person's details
Chapter: FCA Approved Persons
Effective Date: 1st April 2013