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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CREDS 2.2 General provisions
Chapter: Senior management arrangements, systems and controls
Effective Date: 21st March 2012
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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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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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APER 4.6 Statement of Principle 6
Chapter: Code of Practice for Approved Persons: specific
Effective Date: 1st December 2001
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GENPRU 2.2 Capital resources
Chapter: Capital [deleted]FCA 2021/39Capital
Effective Date: 21st December 2006
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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
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CASS 1A.3 Responsibility for CASS operational oversight
Chapter: CASS firm classification and operational oversight
Effective Date: 13th October 2010
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CREDS 2.1 Application and purpose
Chapter: Senior management arrangements, systems and controls
Effective Date: 8th December 2011
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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
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SYSC 19A.3 Remuneration principles for banks, building societies and investment firms
Chapter: Remuneration Code
Effective Date: 2nd November 2011
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LR 15.2 Requirements for listing
Chapter: Investment entitiesClosed-Ended Investment Funds
Effective Date: 6th December 2007
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LR 9.2 Requirements with continuing application
Chapter: Continuing obligations
Effective Date: 21st December 2006
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REC 2.5 Systems and controls and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004