To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
DEPP 2.5 Provision for certain categories of decision
Chapter: Statutory notices and the allocation of decision making
Effective Date: 27th September 2007
-
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 9.8 The effect of the FCA's decision to make a prohibition order
Chapter: TOPIC TITLE
Effective Date: 26th February 2016
-
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
-
DEPP 5.1 Settlement decision makers
Chapter: Settlement decision procedure
Effective Date: 26th July 2007
-
EG 9.9 The effect of the FCA’s decision to withdraw approval
Chapter: TOPIC TITLE
Effective Date: 26th February 2016
-
EG 6.2 Publicity during, or upon the conclusion of regulatory action
Chapter: TOPIC TITLE
Effective Date: 9th December 2015
-
EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017
Chapter: TOPIC TITLE
Effective Date: 4th January 2018
-
DEPP 6A.1 Introduction
Chapter: The power to impose a suspension or restriction
Effective Date: 22nd July 2010
-
EG 9.3 Prohibition orders and withdrawal of approval - approved persons
Chapter: TOPIC TITLE
Effective Date: 9th December 2015
-
SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?
Chapter: Appointed representatives
Effective Date: 15th January 2004
-
EG 9.2 The FCA’s general policy in this area
Chapter: TOPIC TITLE
Effective Date: 26th February 2016
-
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 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 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
-
SUP 10C.13 Variation of conditional and time-limited approvals
Chapter: FCA senior management regime for approved persons in relevant authorised 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