To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
SUP 17.4 Information in transaction reports
Chapter: Transaction reporting
Effective Date: 25th January 2007
-
SUP 17.2 Making transaction reports
Chapter: Transaction reporting
Effective Date: 25th January 2007
-
REC 2.5 Systems and controls and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
SUP 16.12 Integrated Regulatory Reporting
Chapter: Reporting requirements
Effective Date: 21st December 2006
-
FEES 4.4 Information on which Fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
-
PERG 13.7 The territorial application of MiFID
Chapter: Guidance on the scope of the Markets in Financial Instruments Directive and the recast Capital Adequacy Directive
Effective Date: 25th October 2007
-
CASS 6.1 Application
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th October 2007
-
COBS 9.2 Assessing suitability
Chapter: Suitability (including basic advice)
Effective Date: 25th October 2007
-
COBS 4.6 Past, simulated past and future performance
Chapter: Communicating with clients, including financial promotions
Effective Date: 25th October 2007
-
MAR 5.7 Pre-trade transparency requirements for shares
Chapter: Alternative Trading SystemsMultilateral trading facilities (MTFs)
Effective Date: 25th January 2007
-
ICOBS 8.4 Employers’ Liability Insurance
Chapter: Claims handling
Effective Date: 24th February 2011
-
LR 13.5 Financial information in Class 1 Circulars
Chapter: Contents of circulars
Effective Date: 28th June 2007
-
FEES 6.7 Payment of levies
Chapter: Financial Services Compensation Scheme Funding
Effective Date: 28th September 2008
-
COBS 20.2 Treating with-profits policyholders fairly
Chapter: With-profits
Effective Date: 23rd July 2009