To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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TC 2.1 Assessing and maintaining competence
Chapter: Rules and GuidanceCompetence
Effective Date: 19th September 2002
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FEES 4.4 Information on which Fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
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PERG 2.7 Activities: a broad outline
Chapter: Authorisation and regulated activities
Effective Date: 22nd June 2006
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CREDS 2.2 General provisions
Chapter: Senior management arrangements, systems and controls
Effective Date: 8th January 2012
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SUP 16.12 Integrated Regulatory Reporting
Chapter: Reporting requirements
Effective Date: 21st December 2006
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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 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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FEES 3.2 Obligation to pay fees
Chapter: Application, Notification and Vetting Fees
Effective Date: 25th May 2006
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CASS 5.5 Segregation and the operation of client money accounts
Chapter: Client money and mandates2007/4: insurance mediation activity
Effective Date: 16th December 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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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 3.2 Areas covered by systems and controls
Chapter: Systems and controlsSystems and Controls
Effective Date: 21st November 2002
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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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DISP 1.1 Purpose and application
Chapter: Complaint handling procedures for firms
Effective Date: 20th December 2001
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ICOBS 8.4 Employers’ Liability Insurance
Chapter: Claims handling
Effective Date: 24th February 2011
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COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 20th January 2005
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TC App 4.1 Appropriate Qualification tables
Chapter: Appropriate Qualification tables
Effective Date: 16th December 2010
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SUP 13.6 Changes to branches
Chapter: Exercise of passport rights by UK firmsExercise of passport rights by UK firms [deleted]
Effective Date: 18th October 2001