To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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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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CREDS 2.2 General provisions
Chapter: Senior management arrangements, systems and controls
Effective Date: 21st March 2012
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SUP 16.23 Annual Financial Crime Report
Chapter: Reporting requirements
Effective Date: 29th July 2016
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SUP 18.2 Insurance business transfers
Chapter: Transfers of business
Effective Date: 18th November 2004
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SUP 18.4 Friendly Society transfers and amalgamations
Chapter: Transfers of business
Effective Date: 21st June 2001
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COCON 4.2 Specific guidance on senior manager conduct rules
Chapter: Code of Conduct (COCON)
Effective Date: 23rd June 2015
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SYSC 5.1 Skills, knowledge and expertise
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 November 2006
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REC 4.5 FCA supervision of action by UK RIEs under their default rules
Chapter: Supervision
Effective Date: 19th March 2013
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SYSC 19A.3 Remuneration principles for IFPRU investment firms
Chapter: Remuneration Code
Effective Date: 2nd November 2011
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SUP 10C.12 Conditional and time-limited approvals
Chapter: FCA senior management regime for approved persons in relevant authorised persons
Effective Date: 23rd June 2015
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TC 2.1 Assessing and maintaining competence
Chapter: Rules and GuidanceCompetence
Effective Date: 19th September 2002
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REC 5.2 Application process
Chapter: Applications for Recognition (UK recognised bodies)
Effective Date: 25th January 2007
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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 3.2 Areas covered by systems and controls
Chapter: Systems and controlsSystems and Controls
Effective Date: 21st November 2002