To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
EG 3.4 Investigations into general and specific concerns (sections 167 and 168)
Chapter: TOPIC TITLE
Effective Date: 26th February 2016
-
FEES 4.4 Information on which fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
-
DEPP 7.2 Interviews
Chapter: Statement of policy on section 169(7) interviews
Effective Date: 27th November 2009
-
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
-
REC 2.5 Systems and controls and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
PERG 8.12 Exemptions applying to all controlled activities
Chapter: Financial promotion and related activities
Effective Date: 15th September 2005
-
PERG 8.14 Other financial promotions
Chapter: Financial promotion and related activities
Effective Date: 15th September 2005
-
PERG 4.5 Arranging regulated mortgage contracts
Chapter: Guidance on regulated activities connected with mortgages
Effective Date: 25th April 2013
-
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
-
EG 19.28 Legal Aid, Sentencing and Punishment of Offenders Act 2012 (Referral Fees) Regulations 2013
Chapter: TOPIC TITLE
Effective Date: 26th February 2016
-
EG 19.30 The Mortgage Credit Directive Order 2015
Chapter: TOPIC TITLE
Effective Date: 21st March 2016
-
EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action
Chapter: TOPIC TITLE
Effective Date: 26th February 2016
-
EG 19.9 Electronic commerce activity directions: the FCA’s policy
Chapter: TOPIC TITLE
Effective Date: 26th February 2016
-
CREDS 2.2 General provisions
Chapter: Senior management arrangements, systems and controls
Effective Date: 21st March 2012
-
EG 4.2 Notifying the person under investigation where notice is not required under the Act
Chapter: TOPIC TITLE
Effective Date: 26th February 2016
-
PERG 2.8 Exclusions applicable to particular regulated activities
Chapter: Authorisation and regulated activities
Effective Date: 15th September 2005