To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
DEPP 2.5 Provision for certain categories of decision
Chapter: Statutory notices and the allocation of decision making
Effective Date: 27th September 2007
-
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
-
SUP 10C.14 Changes to an FCA-approved person’s details
Chapter: FCA senior management regime for approved persons in relevant authorised persons
Effective Date: 23rd June 2015
-
DEPP 6A.1 Introduction
Chapter: The power to impose a suspension or restriction
Effective Date: 22nd July 2010
-
EG 6.2 Publicity during, or upon the conclusion of regulatory action
Chapter: TOPIC TITLE
Effective Date: 9th December 2015
-
PERG 2.6 Specified investments: a broad outline
Chapter: Authorisation and regulated activities
Effective Date: 15th September 2005
-
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
-
LR 5.6 Reverse takeovers
Chapter: Suspending, cancelling and restoring listingSuspending, cancelling and restoring listing: All securitiesSuspending, cancelling and restoring listing and reverse takeovers: All securities
Effective Date: 27th September 2012
-
SYSC 4.7
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
-
SYSC 4.8
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
-
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
-
SUP 10C.11 Statements of responsibilities
Chapter: FCA senior management regime for approved persons in relevant authorised persons
Effective Date: 23rd June 2015
-
COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 20th January 2005
-
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