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 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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FEES 4.4 Information on which Fees are calculated
Chapter: Periodic fees
Effective Date: 1st January 2006
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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
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FEES 3.2 Obligation to pay fees
Chapter: Application, Notification and Vetting Fees
Effective Date: 25th May 2006
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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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LR 13.5 Financial information in Class 1 Circulars
Chapter: Contents of circulars
Effective Date: 1st July 2005
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ICOB 8.4 Unsolicited services
Chapter: Distance non-investment mediation contracts with retail customers
Effective Date: 15th April 2004
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PERG 2.7 Activities: a broad outline
Chapter: Authorisation and regulated activities
Effective Date: 22nd June 2006
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SUP 12.6 Continuing obligations of firms with appointed representatives
Chapter: Appointed representatives
Effective Date: 20th September 2001
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COND 2.5 Threshold condition 5: Suitability
Chapter: The threshold conditions
Effective Date: 15th January 2004
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DISP 1.1 Application and Purpose
Chapter: Complaint handling procedures for firms
Effective Date: 20th December 2001
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SUP 12.1 Application and purpose
Chapter: Appointed representatives
Effective Date: 15th January 2004
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SUP 6.3 Applications for variation of permission
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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PERG 8.14 Other financial promotions
Chapter: Financial promotion and related activities
Effective Date: 15th September 2005
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SYSC 4.1 Application and purpose
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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SUP 6.4 Applications for cancellation of permission
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: 15th January 2004