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 11.6 Use of dealing commission [deleted]
Chapter: Dealing and managing
Effective Date: 26th July 2007
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COBS 20.2 Treating with-profits policyholders fairly
Chapter: With-profits
Effective Date: 23rd July 2009
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COBS 11.2 Best execution for AIFMs and residual CIS operators
Chapter: Dealing and managing
Effective Date: 26th July 2007
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COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products
Chapter: fConduct of business obligations
Effective Date: 26th July 2007
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COBS 6.1A Adviser charging and remuneration
Chapter: Information about the firm, its services and remuneration
Effective Date: 25th March 2010
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COBS 11.8 Recording telephone conversations and electronic communications [deleted]
Chapter: Dealing and managing
Effective Date: 28th February 2008
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COBS 6.1C Consultancy charging and remuneration
Chapter: Information about the firm, its services and remuneration
Effective Date: 24th June 2010
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SYSC 5.2
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 June 2015
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COBS 18.5 Residual CIS operators and small authorised UK AIFMs
Chapter: Specialist Regimes2007/58
Effective Date: 25th October 2007
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COBS 6.2A Describing advice services [deleted]
Chapter: Information about the firm, its services and remuneration
Effective Date: 25th March 2010
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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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COBS 19.7 Retirement risk warnings
Chapter: Pensions – supplementary provisions
Effective Date: 26th February 2015
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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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COBS 19.1 Pension transfers, conversions, and opt-outs
Chapter: Pensions – supplementary provisions
Effective Date: 24th May 2007
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MCOB 11.6 Responsible lending and financing
Chapter: Responsible lending
Effective Date: 27th September 2012
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COBS 5.1 The distance marketing disclosure rules
Chapter: Distance communications
Effective Date: 24th May 2007
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COBS 11.5 Record keeping: client orders and transactions [deleted]
Chapter: Dealing and managing
Effective Date: 3rd July 2017
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DISP 1.1A Complaints handling requirements for MiFID complaints
Chapter: Complaint handling procedures for firms
Effective Date: 3rd July 2017