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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

As Published: 2007

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

CASS 7.11 Treatment of client money

As Published: 2014

CASS 7.11 Treatment of client money

COBS 4.5 Communicating with retail clients (non-MiFID provisions)

As Published: 2008

COBS 4.5 Communicating with retail clients (non-MiFID provisions)

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

COBS 14.3 Information about designated investments (non-MiFID provisions)

As Published: 2007

COBS 14.3 Information about designated investments (non-MiFID provisions)

COBS 4.7 Direct offer financial promotions

As Published: 2007

COBS 4.7 Direct offer financial promotions

COBS 3.4 Retail clients

As Published: 2017

COBS 3.4 Retail clients

COBS 16.2 Occasional reporting

As Published: 2007

COBS 16.2 Occasional reporting

CASS 9.4 Information to clients concerning custody assets and client money

As Published: 2014

CASS 9.4 Information to clients concerning custody assets and client money

COBS 16.6 Communications to clients - life insurance, long term care insurance and income withdrawals

As Published: 2007

COBS 16.6 Communications to clients - life insurance, long term care insurance and income withdrawals

TC 2.1 Assessing and maintaining competence

As Published: 2002

TC 2.1 Assessing and maintaining competence

COBS 8.1 Client agreements: non-MiFID designated investment business

As Published: 2007

COBS 8.1 Client agreements: non-MiFID designated investment business

COBS 14.2 Providing product information to clients

As Published: 2007

COBS 14.2 Providing product information to clients

COBS 6.1D Product provider requirements relating to consultancy charging and remuneration

As Published: 2011

COBS 6.1D Product provider requirements relating to consultancy charging and remuneration

COLL 4.7 Key investor information and marketing communications

As Published: 2011

COLL 4.7 Key investor information and marketing communications

COBS 2.1 Acting honestly, fairly and professionally

As Published: 2007

COBS 2.1 Acting honestly, fairly and professionally

CASS 6.4 Use of safe custody assets

As Published: 2007

CASS 6.4 Use of safe custody assets

COBS 9.4 Suitability reports

As Published: 2007

COBS 9.4 Suitability reports

SUP 12.5 Contracts: required terms

As Published: 2002

SUP 12.5 Contracts: required terms

SUP 10A.10 Customer-dealing functions

As Published: 2014

SUP 10A.10 Customer-dealing functions