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
-
EG 19.34 Markets in Financial Instruments Regulations 2017
Chapter: TOPIC TITLE
Effective Date: 8th December 2017
-
EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017
Chapter: TOPIC TITLE
Effective Date: 4th January 2018
-
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
-
EG 19.35 Data Reporting Services Regulations 2017
Chapter: TOPIC TITLE
Effective Date: 8th December 2017
-
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
-
PERG 8.12 Exemptions applying to all controlled activities
Chapter: Financial promotion and related activities
Effective Date: 15th September 2005
-
REC 2.5 Systems and controls, algorithmic trading and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
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
-
EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017
Chapter: TOPIC TITLE
Effective Date: 26th February 2016
-
SYSC 4.6
Chapter: Guidance on Public Interest Disclosure Act: WhistleblowingGeneral organisational requirements [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]2006/50General organisational requirements
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 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action
Chapter: TOPIC TITLE
Effective Date: 26th February 2016