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 13.4 Requirements to notify the appropriate regulator
Chapter: Operational risk: systems and controlsOperational risk: systems and controls for insurers
Effective Date: 26th February 2016
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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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IFPRU 2.3 Supervisory review and evaluation process: internal capital adequacy standards
Chapter: Supervisory processes and governance [deleted]FCA 2021/39Supervisory processes and governance
Effective Date: 30th January 2014
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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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REC 2.5 Systems and controls, algorithmic trading and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
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SYSC 13.9 Outsourcing
Chapter: Operational risk: systems and controlsOperational risk: systems and controls for insurers
Effective Date: 12th August 2015
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SYSC 13.8 External events and other changes
Chapter: Operational risk: systems and controlsOperational risk: systems and controls for insurers
Effective Date: 26th February 2016
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SYSC 4.1 General requirements
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
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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 13.7 Processes and systems
Chapter: Operational risk: systems and controlsOperational risk: systems and controls for insurers
Effective Date: 25th October 2007
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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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IFPRU 2.2 Internal capital adequacy assessment process
Chapter: Supervisory processes and governance [deleted]FCA 2021/39Supervisory processes and governance
Effective Date: 30th January 2014
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SYSC 19C.3 Remuneration principles
Chapter: BIPRU Remuneration Code [deleted]BIPRU Remuneration Code
Effective Date: 27th March 2014
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SUP 15.2 Purpose
Chapter: Notifications to the FCANotifications to the FSANotifications to the FCA or PRAFCA_2013_16_PRA_2013/11
Effective Date: 17th March 2005
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FEES 3.2 Obligation to pay fees
Chapter: Application, Notification and Vetting Fees
Effective Date: 25th May 2006
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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
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REC 5.2 Application process
Chapter: Applications for Recognition (UK recognised bodies)
Effective Date: 25th January 2007