To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach
Chapter: TOPIC TITLE
Effective Date: 26th February 2016
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DEPP 2.5 Provision for certain categories of decision
Chapter: Statutory notices and the allocation of decision making
Effective Date: 27th September 2007
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SYSC 5.2 Certification regime
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
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EG 9.3 Prohibition orders and withdrawal of approval - approved persons
Chapter: TOPIC TITLE
Effective Date: 9th December 2015
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SUP 4.5 Provisions applicable to all actuaries
Chapter: Actuaries
Effective Date: 16th December 2004
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SUP 10C.10 Application for approval and withdrawing an application for approval
Chapter: FCA senior management regime for approved persons in relevant authorised persons
Effective Date: 23rd June 2015
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COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary
Chapter: Operating duties and responsibilities
Effective Date: 23rd February 2006
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SUP 10C.14 Changes to an FCA-approved person’s details
Chapter: FCA senior management regime for approved persons in relevant authorised persons
Effective Date: 23rd June 2015
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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 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 10C.12 Conditional and time-limited approvals
Chapter: FCA senior management regime for approved persons in relevant authorised persons
Effective Date: 23rd June 2015
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APER 4.1 Statement of Principle 1
Chapter: Code of Practice for Approved Persons: specific
Effective Date: 15th September 2005