To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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COBS 20.2 Treating with-profits policyholders fairly
Chapter: With-profits
Effective Date: 23rd July 2009
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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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COBS 18.5 Operators of collective investment schemes
Chapter: Specialist Regimes2007/58
Effective Date: 25th October 2007
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COBS 9.6 Special rules for giving basic advice on a stakeholder product
Chapter: Suitability (including basic advice)
Effective Date: 26th July 2007
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TC 2.1 Assessing and maintaining competence
Chapter: Rules and GuidanceCompetence
Effective Date: 19th September 2002
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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
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COBS 21.3 Rules for firms engaged in linked long-term insurance business
Chapter: Permitted LinksPermitted Links and conditional permitted links
Effective Date: 24th January 2008
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COBS 19.1 Pension transfers and opt-outs
Chapter: Pensions – supplementary provisions
Effective Date: 24th May 2007
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COBS 11.8 Recording telephone conversations and electronic communications
Chapter: Dealing and managing
Effective Date: 28th February 2008
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COBS 19.4 Open market options
Chapter: Pensions – supplementary provisions
Effective Date: 24th June 2010
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COBS 5.1 The distance marketing disclosure rules
Chapter: Distance communications
Effective Date: 24th May 2007
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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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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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COBS 4.12 Unregulated collective investment schemes
Chapter: Communicating with clients, including financial promotions
Effective Date: 25th October 2007