To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
SUP 12.3 What responsibility does a firm have for its appointed representatives ?
Chapter: Appointed representatives
Effective Date: 21st June 2001
-
SUP 12.5 Contracts: required terms
Chapter: Appointed representatives
Effective Date: 21st November 2002
-
SUP 12.1 Application and purpose
Chapter: Appointed representatives
Effective Date: 15th January 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
-
SUP 13.3 Establishing a branch in another EEA State
Chapter: Exercise of passport rights by UK firmsExercise of passport rights by UK firms [deleted]
Effective Date: 18th October 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
-
SUP 12.6 Continuing obligations of firms with appointed representatives
Chapter: Appointed representatives
Effective Date: 20th September 2001
-
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 13.6 Changes to branches
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
-
DISP 1.1 Application and Purpose
Chapter: Complaint handling procedures for firms
Effective Date: 20th December 2001
-
SYSC 3.2 Areas covered by systems and controls
Chapter: Systems and controlsSystems and Controls
Effective Date: 21st November 2002
-
SUP 12.8 Termination of a relationship with an appointed representative
Chapter: Appointed representatives
Effective Date: 20th October 2004
-
SUP 13.7 Changes to cross border services
Chapter: Exercise of passport rights by UK firmsExercise of passport rights by UK firms [deleted]
Effective Date: 21st June 2001
-
SUP 14.2 Changes to branch details
Chapter: Incoming EEA firms changing details, and cancelling qualification for authorisationIncoming EEA firms changing details, and cancelling qualification for authorisation [deleted]
Effective Date: 18th October 2001
-
SYSC 3.1 Systems and Controls
Chapter: Systems and controlsSystems and Controls
Effective Date: 1st December 2001
-
SUP 12.7 Notification requirements
Chapter: Appointed representatives
Effective Date: 21st November 2002