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 3.2 Areas covered by systems and controls
Chapter: Systems and controlsSystems and Controls
Effective Date: 21st November 2002
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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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SYSC 2.1 Apportionment of Responsibilities
Chapter: Senior management arrangements
Effective Date: 19th September 2002
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APER 4.6 Statement of Principle 6
Chapter: Code of Practice for Approved Persons: specific
Effective Date: 1st December 2001
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SYSC 4.2 Practical measures
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: 1st May 2002
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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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LR 15.2 Requirements for listing
Chapter: Investment entitiesClosed-Ended Investment Funds
Effective Date: 1st July 2005
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LR 9.2 Requirements with continuing application
Chapter: Continuing obligations
Effective Date: 1st July 2005
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PERG 8.12 Exemptions applying to all controlled activities
Chapter: Financial promotion and related activities
Effective Date: 15th September 2005
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SUP 5.3 Policy on the use of skilled persons
Chapter: Reports by skilled persons
Effective Date: 20th January 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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APER 4.5 Statement of Principle 5
Chapter: Code of Practice for Approved Persons: specific
Effective Date: 1st December 2001
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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