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 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation
Chapter: TOPIC TITLE
Effective Date: 24th June 2016
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EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling
Chapter: TOPIC TITLE
Effective Date: 26th February 2016
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REC 2A.4 Power and procedure for RAP penalties and censures
Chapter: Recognised Auction PlatformsRecognised Auction Platforms [deleted]Recognised Auction Platforms
Effective Date: 31st October 2012
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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 19.35 Data Reporting Services Regulations 2017
Chapter: TOPIC TITLE
Effective Date: 8th December 2017
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EG 19.34 Markets in Financial Instruments Regulations 2017
Chapter: TOPIC TITLE
Effective Date: 8th December 2017
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SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms
Chapter: Information gathering by the FSA on its own initiative Information gathering by the appropriate regulator on its own initiativeFCA 2014/14Information gathering by the FCA or PRA on its own initiativeFCA 2014/21
Effective Date: 26th July 2007
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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 16.23 Annual Financial Crime Report
Chapter: Reporting requirements
Effective Date: 29th July 2016
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FEES 4.4 Information on which fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
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EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017
Chapter: TOPIC TITLE
Effective Date: 4th January 2018
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FEES 3.2 Obligation to pay fees
Chapter: Application, Notification and Vetting Fees
Effective Date: 25th May 2006
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SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements
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 5.2
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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REC 5.2 Application process
Chapter: Applications for Recognition (UK recognised bodies)
Effective Date: 25th January 2007