To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
COBS 20.2 Treating with-profits policyholders fairly
Chapter: With-profits
Effective Date: 1st November 2007
-
COBS 18.5 Operators of collective investment schemes
Chapter: Specialist Regimes2007/58
Effective Date: 25th October 2007
-
COBS 9.6 Special rules for giving basic advice on a stakeholder product
Chapter: Suitability (including basic advice)
Effective Date: 26th July 2007
-
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
-
TC 2.1 Assessing and maintaining competence
Chapter: Rules and GuidanceCompetence
Effective Date: 19th September 2002
-
COBS 6.3 Disclosing information about services, fees and commission – packaged products
Chapter: Information about the firm, its services and remuneration
Effective Date: 26th July 2007
-
COBS 21.3 Rules for firms engaged in linked long-term insurance business
Chapter: Permitted LinksPermitted Links and conditional permitted links
Effective Date: 1st November 2007
-
COBS 19.1 Pension transfers and opt-outs
Chapter: Pensions – supplementary provisions
Effective Date: 24th May 2007
-
COBS 19.4 Open market options
Chapter: Pensions – supplementary provisions
Effective Date: 1st November 2007
-
COBS 14.2 Providing product information to clients
Chapter: Providing product information to clients
Effective Date: 26th July 2007
-
COBS 5.1 The distance marketing disclosure rules
Chapter: Distance communications
Effective Date: 24th May 2007
-
ICOB 8.4 Unsolicited services
Chapter: Distance non-investment mediation contracts with retail customers
Effective Date: 15th April 2004
-
SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents
Chapter: Appointed representatives
Effective Date: 20th September 2001
-
COBS 4.12 Unregulated collective investment schemes
Chapter: Communicating with clients, including financial promotions
Effective Date: 25th October 2007