To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
DEPP 6.6 Financial penalties for late and incomplete submission of reports
Chapter: Penalties
Effective Date: 25th February 2010
-
DEPP 2.5 Provision for certain categories of decision
Chapter: Statutory notices and the allocation of decision making
Effective Date: 27th September 2007
-
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
-
DEPP 6.5A The five steps for penalties imposed on firms
Chapter: Penalties
Effective Date: 25th February 2010
-
DEPP 6A.1 Introduction
Chapter: The power to impose a suspension or restriction
Effective Date: 22nd July 2010
-
DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
Chapter: Penalties
Effective Date: 22nd July 2010
-
DEPP 5.1 Settlement decision makers
Chapter: Settlement decision procedure
Effective Date: 26th July 2007
-
DEPP 6A.4 The interaction between the power to impose suspensions or restrictions and the power to impose penalties or public censures
Chapter: The power to impose a suspension or restriction
Effective Date: 6th August 2010
-
DEPP 6A.2 Deciding whether to take action
Chapter: The power to impose a suspension or restriction
Effective Date: 6th August 2010
-
CREDS 2.2 General provisions
Chapter: Senior management arrangements, systems and controls
Effective Date: 21st March 2012
-
DEPP 6.5 Determining the appropriate level of financial penalty
Chapter: Penalties
Effective Date: 4th December 2008
-
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
-
FEES 4.4 Information on which Fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
-
RCB 2.3 Determination of registration
Chapter: Applications for registration
Effective Date: 6th March 2008
-
LR 9.2 Requirements with continuing application
Chapter: Continuing obligations
Effective Date: 21st December 2006
-
PERG 2.7 Activities: a broad outline
Chapter: Authorisation and regulated activities
Effective Date: 22nd June 2006