To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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SYSC 3.1 Systems and Controls
Chapter: Systems and controlsSystems and Controls
Effective Date: 1st December 2001
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SYSC 3.2 Areas covered by systems and controls
Chapter: Systems and controlsSystems and Controls
Effective Date: 21st November 2002
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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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SUP 12.6 Continuing obligations of firms with appointed representatives
Chapter: Appointed representatives
Effective Date: 20th September 2001
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SYSC 4.1 Application and purpose
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
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TC 2.1 Application: who? where? and what?
Chapter: Rules and GuidanceCompetence
Effective Date: 19th September 2002
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SUP 12.5 Contracts: required terms
Chapter: Appointed representatives
Effective Date: 21st November 2002
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SUP 15.3 General notification requirements
Chapter: Notifications to the FCANotifications to the FSANotifications to the FCA or PRAFCA_2013_16_PRA_2013/11
Effective Date: 16th December 2004
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SUP 6.3 Applications for variation of permission
Chapter: Applications to vary and cancel Part IV permissionApplications to vary and cancel Part 4A permission and to impose, vary or cancel requirements
Effective Date: 20th December 2001
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SYSC 2.1 Apportionment of Responsibilities
Chapter: Senior management arrangements
Effective Date: 19th September 2002
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SUP 12.1 Application and purpose
Chapter: Appointed representatives
Effective Date: 15th January 2004
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COND 2.4 Threshold condition 4: Adequate resources
Chapter: The threshold conditions
Effective Date: 15th April 2004
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REC 5.2 Application process
Chapter: Applications for Recognition (UK recognised bodies)
Effective Date: 21st June 2001
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ICOB 8.4 Unsolicited services
Chapter: Distance non-investment mediation contracts with retail customers
Effective Date: 15th April 2004
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SUP 12.3 What responsibility does a firm have for its appointed representatives ?
Chapter: Appointed representatives
Effective Date: 21st June 2001