To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
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 3.7 Notification of matters raised by auditor
Chapter: Auditors
Effective Date: 16th December 2004
-
ICOB 8.4 Unsolicited services
Chapter: Distance non-investment mediation contracts with retail customers
Effective Date: 15th April 2004
-
SYSC 3.2 Areas covered by systems and controls
Chapter: Systems and controlsSystems and Controls
Effective Date: 21st November 2002
-
SUP 6.2 Introduction
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: 21st June 2001
-
SUP 3.10 Duties of auditors: notification and report on client assets
Chapter: Auditors
Effective Date: 18th March 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
-
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
-
SUP 2.1 Application and purpose
Chapter: Information gathering by the FSA on its own initiative Information gathering by the appropriate regulator on its own initiativeFCA 2014/14Information gathering by the FCA or PRA on its own initiativeFCA 2014/21
Effective Date: 20th March 2003
-
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
-
SUP 15.7 Form and method of notification
Chapter: Notifications to the FCANotifications to the FSANotifications to the FCA or PRAFCA_2013_16_PRA_2013/11
Effective Date: 21st March 2002
-
COND 2.5 Threshold condition 5: Suitability
Chapter: The threshold conditions
Effective Date: 15th January 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
-
COND 2.4 Threshold condition 4: Adequate resources
Chapter: The threshold conditions
Effective Date: 15th April 2004
-
SYSC 2.1 Apportionment of Responsibilities
Chapter: Senior management arrangements
Effective Date: 19th September 2002