To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
DISP 1.1 Purpose and application
Chapter: Complaint handling procedures for firms
Effective Date: 20th December 2001
-
DISP 1.9 Complaints record rule
Chapter: Complaint handling procedures for firms
Effective Date: 1st November 2007
-
DISP 1.11 The Society of Lloyd's
Chapter: Complaint handling procedures for firms
Effective Date: 1st November 2007
-
DISP 2.6 To which activities do the rules apply?
Chapter: Jurisdiction of the Financial Ombudsman Service
Effective Date: 17th July 2003
-
SYSC 10.1 Application
Chapter: Conflicts of interest [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]Conflicts of interest
Effective Date: 23rd November 2006
-
DISP 1.3 Complaints handling rules
Chapter: Complaint handling procedures for firms
Effective Date: 17th July 2003
-
SUP 13.3 Establishing a branch in another EEA State
Chapter: Exercise of passport rights by UK firmsExercise of passport rights by UK firms [deleted]
Effective Date: 18th October 2001
-
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
-
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
-
COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 20th January 2005
-
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
-
SUP 13A.4 EEA firms establishing a branch in the United Kingdom
Chapter: Qualifying for authorisation under the ActQualifying for authorisation under the Act [deleted]
Effective Date: 25th October 2007
-
FEES 4.3 Periodic fee payable by firms (other than ICVCs and UCITS qualifiers)
Chapter: Periodic fees
Effective Date: 23rd March 2006
-
DISP 1.2 Consumer awareness rules
Chapter: Complaint handling procedures for firms
Effective Date: 17th July 2003
-
COLL 6.3 Valuation and pricing
Chapter: Operating duties and responsibilities
Effective Date: 28th September 2006
-
COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary
Chapter: Operating duties and responsibilities
Effective Date: 21st April 2005
-
DISP 2.3 Time Limits for referral of complaints to the Financial Ombudsman Service
Chapter: Jurisdiction of the Financial Ombudsman Service
Effective Date: 16th January 2003
-
FEES 4.4 Information on which Fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007