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 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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TC 2.1 Assessing and maintaining competence
Chapter: Rules and GuidanceCompetence
Effective Date: 19th September 2002
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TC 1.1 Who, what and where?
Chapter: CommitmentsApplication and Purpose
Effective Date: 19th September 2002
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SUP 12.5 Contracts: required terms
Chapter: Appointed representatives
Effective Date: 21st November 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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SYSC 3.2 Areas covered by systems and controls
Chapter: Systems and controlsSystems and Controls
Effective Date: 21st November 2002
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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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SYSC 6.1 Compliance
Chapter: Compliance, internal audit and financial crime [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]Compliance, internal audit and financial crime
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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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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DISP 1.11 The Society of Lloyd's
Chapter: Complaint handling procedures for firms
Effective Date: 1st November 2007
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PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
Chapter: Authorisation and regulated activities
Effective Date: 15th September 2005
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ICOB 8.4 Unsolicited services
Chapter: Distance non-investment mediation contracts with retail customers
Effective Date: 15th April 2004
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SUP 13A.9 The precautionary measure rule for incoming EEA firms
Chapter: Qualifying for authorisation under the ActQualifying for authorisation under the Act [deleted]
Effective Date: 25th October 2007
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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