To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
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
-
CASS 5.5 Segregation and the operation of client money accounts
Chapter: Client money and mandates2007/4: insurance mediation activity
Effective Date: 16th December 2004
-
CREDS 2.2 General provisions
Chapter: Senior management arrangements, systems and controls
Effective Date: 21st March 2012
-
CASS 7.19 Clearing member client money sub-pools
Chapter: Client money : MiFID business rules2008/45
Effective Date: 5th June 2014
-
CASS 7.10 Application and purpose
Chapter: Client money : MiFID business rules2008/45
Effective Date: 5th June 2014
-
CASS 7.11 Treatment of client money
Chapter: Client money : MiFID business rules2008/45
Effective Date: 5th June 2014
-
CASS 7.13 Segregation of client money
Chapter: Client money : MiFID business rules2008/45
Effective Date: 5th June 2014
-
SUP 15.11 Notification of COCON breaches and disciplinary action
Chapter: Notifications to the FCANotifications to the FSANotifications to the FCA or PRAFCA_2013_16_PRA_2013/11
Effective Date: 23rd June 2015
-
SUP 10C.10 Application for approval and withdrawing an application for approval
Chapter: FCA senior management regime for approved persons in relevant authorised persons
Effective Date: 23rd June 2015
-
PERG 2.7 Activities: a broad outline
Chapter: Authorisation and regulated activities
Effective Date: 22nd June 2006
-
FEES 4.4 Information on which fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
-
SUP 5.1 Application and purpose
Chapter: Reports by skilled persons
Effective Date: 20th September 2001
-
CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank
Chapter: Debt management client money chapter
Effective Date: 27th March 2014
-
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
-
SYSC 19C.3 Remuneration principles
Chapter: BIPRU Remuneration Code [deleted]BIPRU Remuneration Code
Effective Date: 27th March 2014