To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
SYSC 3.2 Areas covered by systems and controls
Chapter: Systems and controlsSystems and Controls
Effective Date: 21st November 2002
-
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 2.1 Apportionment of Responsibilities
Chapter: Senior management arrangements
Effective Date: 19th September 2002
-
DEPP 2.5 Provision for certain categories of decision
Chapter: Statutory notices and the allocation of decision making
Effective Date: 27th September 2007
-
APER 4.6 Statement of Principle 6
Chapter: Code of Practice for Approved Persons: specific
Effective Date: 1st December 2001
-
GENPRU 2.2 Capital resources
Chapter: Capital [deleted]FCA 2021/39Capital
Effective Date: 21st December 2006
-
SYSC 4.2 Persons who effectively direct the business
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: 25th September 2008
-
SYSC 4.4 Apportionment of responsibilities
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: 25th September 2008
-
PERG 8.14 Other financial promotions
Chapter: Financial promotion and related activities
Effective Date: 15th September 2005
-
LR 15.2 Requirements for listing
Chapter: Investment entitiesClosed-Ended Investment Funds
Effective Date: 6th December 2007
-
LR 9.2 Requirements with continuing application
Chapter: Continuing obligations
Effective Date: 21st December 2006
-
REC 2.5 Systems and controls and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
PERG 8.12 Exemptions applying to all controlled activities
Chapter: Financial promotion and related activities
Effective Date: 15th September 2005