To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
SYSC 19E.2 Remuneration policies and practices
Chapter: UCITS Remuneration Code
Effective Date: 3rd February 2016
-
COLL 6.12 Risk management policy and risk measurement
Chapter: Operating duties and responsibilities
Effective Date: 1st July 2011
-
COLL 7.7 UCITS mergers
Chapter: Suspension of dealings and termination of authorised funds
Effective Date: 1st July 2011
-
COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes
Chapter: Operating duties and responsibilities
Effective Date: 1st July 2011
-
COLL 6.13 Record keeping
Chapter: Operating duties and responsibilities
Effective Date: 1st July 2011
-
COLL 12.2 UK UCITS management companies
Chapter: Management company and product passports under the UCITS DirectiveManagement company and product passports under the UCITS Directive [deleted]
Effective Date: 3rd February 2016
-
SYSC 19D.3 Remuneration principles
Chapter: Dual-regulated firms Remuneration Code
Effective Date: 1st July 2015
-
COLL 12.3 EEA UCITS management companies
Chapter: Management company and product passports under the UCITS DirectiveManagement company and product passports under the UCITS Directive [deleted]
Effective Date: 27th June 2013
-
COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 20th January 2005
-
SYSC 19A.3 Remuneration principles for IFPRU investment firms
Chapter: Remuneration Code
Effective Date: 2nd November 2011
-
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
-
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
-
COLL 11.3 Co-ordination and information exchange for master and feeder UCITS
Chapter: Master-feeder arrangements under the UCITS DirectiveMaster-feeder arrangements for UCITS schemes
Effective Date: 27th June 2013
-
SUP 13A.3 Qualifications for authorisation under the Act
Chapter: Qualifying for authorisation under the ActQualifying for authorisation under the Act [deleted]
Effective Date: 26th July 2007
-
COLL 6.6B UCITS depositaries
Chapter: Operating duties and responsibilities
Effective Date: 3rd February 2016
-
COLL 6.10 Senior personnel responsibilities
Chapter: Operating duties and responsibilities
Effective Date: 1st July 2011
-
SUP 13.3 Establishing a branch in another EEA State
Chapter: Exercise of passport rights by UK firmsExercise of passport rights by UK firms [deleted]
Effective Date: 18th October 2001