To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
TC App 2.1 TCs Territorial Scope subject to the limitation in TC Appendix 3
Chapter: Appendix 2
Effective Date: 26th July 2007
-
SUP 16.23 Annual Financial Crime Report
Chapter: Reporting requirements
Effective Date: 29th July 2016
-
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
-
FEES 4.4 Information on which fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
-
SUP 12.5 Contracts: required terms
Chapter: Appointed representatives
Effective Date: 21st November 2002
-
SYSC 4.6
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: 23rd June 2015
-
PERG 5.12 Link between activities and the United Kingdom
Chapter: Guidance on insurance distribution activitiesGuidance on insurance mediation activities
Effective Date: 15th December 2005
-
PERG 2.9 Regulated activities: exclusions applicable in certain circumstances
Chapter: Authorisation and regulated activities
Effective Date: 15th September 2005
-
PERG 2.7 Activities: a broad outline
Chapter: Authorisation and regulated activities
Effective Date: 22nd June 2006
-
SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?
Chapter: Appointed representatives
Effective Date: 15th January 2004
-
SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents
Chapter: Appointed representatives
Effective Date: 20th September 2001
-
SUP 16.12 Integrated Regulatory Reporting
Chapter: Reporting requirements
Effective Date: 21st December 2006
-
PERG 8.14 Other financial promotions
Chapter: Financial promotion and related activities
Effective Date: 15th September 2005
-
MCOB 1.6 Distinguishing regulated mortgage contracts and regulated credit agreements
Chapter: Application and purpose
Effective Date: 19th February 2004
-
MAR 10.4 Position reporting
Chapter: Commodity derivative position limits and controls, and position reporting
Effective Date: 3rd July 2017
-
DISP 1.1 Purpose and application
Chapter: Complaint handling procedures for firms
Effective Date: 20th December 2001
-
PERG 2.8 Exclusions applicable to particular regulated activities
Chapter: Authorisation and regulated activities
Effective Date: 15th September 2005
-
PERG 4.11 Link between activities and the United Kingdom
Chapter: Guidance on regulated activities connected with mortgages
Effective Date: 27th September 2007