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 13.6 People
Chapter: Operational risk: systems and controlsOperational risk: systems and controls for insurers
Effective Date: 25th October 2007
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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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SYSC 3.2 Areas covered by systems and controls
Chapter: Systems and controlsSystems and Controls
Effective Date: 21st November 2002
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SYSC 5.1 Skills, knowledge and expertise
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 November 2006
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MCOB 9.4 Content of illustrations
Chapter: Lifetime Mortgage: product disclosure2006/45Equity release: product disclosure
Effective Date: 19th February 2004
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REC 2.5 Systems and controls and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
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MCOB 5.6 Content of illustrations
Chapter: Pre-application disclosure
Effective Date: 19th February 2004
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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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SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
Chapter: Appointed representatives
Effective Date: 15th January 2004
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TC 2.1 Assessing and maintaining competence
Chapter: Rules and GuidanceCompetence
Effective Date: 19th September 2002
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SYSC 13.9 Outsourcing
Chapter: Operational risk: systems and controlsOperational risk: systems and controls for insurers
Effective Date: 31st December 2006
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SYSC 2.1 Apportionment of Responsibilities
Chapter: Senior management arrangements
Effective Date: 19th September 2002
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SYSC 10.1 Application
Chapter: Conflicts of interest [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]Conflicts of interest
Effective Date: 23rd November 2006
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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 1.4 Application of SYSC 11 to SYSC 21
Chapter: Application and purpose
Effective Date: 23rd November 2006
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SYSC 7.1 Risk control
Chapter: Risk control [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]Risk control
Effective Date: 23rd November 2006
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SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents
Chapter: Appointed representatives
Effective Date: 20th September 2001
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COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs
Chapter: Investment and borrowing powers
Effective Date: 25th February 2010