To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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SUP 16.3 General provisions on reporting
Chapter: Reporting requirements
Effective Date: 20th September 2001
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EG 2.13 Late reporting or non-submission of reports to the FCA
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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EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative
Chapter: TOPIC TITLE
Effective Date: 26th February 2016
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EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy
Chapter: TOPIC TITLE
Effective Date: 24th March 2015
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RCB 3.2 Annual confirmations of compliance and asset pool monitor
Chapter: Notifications
Effective Date: 8th December 2011
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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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SUP 16.23 Annual Financial Crime Report
Chapter: Reporting requirements
Effective Date: 29th July 2016
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SUP 16.19 Immigration Act compliance reporting
Chapter: Reporting requirements
Effective Date: 11th December 2014
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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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DEPP 6.6 Financial penalties for late and incomplete submission of reports
Chapter: Penalties
Effective Date: 25th February 2010
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SUP 8.3 Applying for a waiver
Chapter: Waiver and modification of rules
Effective Date: 19th September 2002
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GEN 6.1 Payment of financial penalties
Chapter: Insurance against financial penalties
Effective Date: 18th December 2003
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DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases
Chapter: Penalties
Effective Date: 22nd July 2010
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DEPP 6.5A The five steps for penalties imposed on firms
Chapter: Penalties
Effective Date: 25th February 2010
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GEN 1.3 Emergency
Chapter: FSA approval and emergenciesAppropriate regulator approval and emergencies
Effective Date: 20th March 2003