To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions
Chapter: TOPIC TITLE
Effective Date: 9th December 2015
-
DEPP 7.2 Interviews
Chapter: Statement of policy on section 169(7) interviews
Effective Date: 27th November 2009
-
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
-
EG 4.11 Approach to interviews and interview procedures
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
-
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
-
EG App 2.1 Purpose, status and application of the guidelines
Chapter: TOPIC TITLE
Effective Date: 9th December 2015
-
EG 9.3 Prohibition orders and withdrawal of approval - approved persons
Chapter: TOPIC TITLE
Effective Date: 9th December 2015
-
APER 4.4 Statement of Principle 4
Chapter: Code of Practice for Approved Persons: specific
Effective Date: 12th August 2015
-
SUP 18.2 Insurance business transfers
Chapter: Transfers of business
Effective Date: 18th November 2004
-
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
-
SUP 6.4 Applications for cancellation of permission
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: 15th January 2004
-
SUP 2.1 Application and purpose
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: 20th March 2003
-
EG 19.27 Alternative Investment Fund Managers Regulations 2013
Chapter: TOPIC TITLE
Effective Date: 29th July 2016
-
DEPP 7.1 Application and purpose
Chapter: Statement of policy on section 169(7) interviews
Effective Date: 26th July 2007
-
COCON 4.2 Specific guidance on senior manager conduct rules
Chapter: Code of Conduct (COCON)
Effective Date: 23rd June 2015
-
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