To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
Chapter: Short selling
Effective Date: 1st November 2012
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FEES 4.4 Information on which fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
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FEES 3.2 Obligation to pay fees
Chapter: Application, Notification and Vetting Fees
Effective Date: 25th May 2006
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SUP 15.13 Notification by CBTL firms
Chapter: Notifications to the FCANotifications to the FSANotifications to the FCA or PRAFCA_2013_16_PRA_2013/11
Effective Date: 21st March 2016
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GENPRU 2.2 Capital resources
Chapter: Capital [deleted]FCA 2021/39Capital
Effective Date: 21st December 2006
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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
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SYSC 19A.3 Remuneration principles for IFPRU investment firms
Chapter: Remuneration Code
Effective Date: 2nd November 2011
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SYSC 19D.3 Remuneration principles
Chapter: Dual-regulated firms Remuneration Code
Effective Date: 1st July 2015
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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
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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
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FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
Chapter: Short selling
Effective Date: 31st October 2012
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DISP 1.11 The Society of Lloyd's
Chapter: Complaint handling procedures for firms
Effective Date: 28th January 2010
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SUP 10C.16 References and accurate information
Chapter: FCA senior management regime for approved persons in relevant authorised persons
Effective Date: 7th March 2016
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DEPP 2.5 Provision for certain categories of decision
Chapter: Statutory notices and the allocation of decision making
Effective Date: 27th September 2007
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SUP 15.7 Form and method of notification
Chapter: Notifications to the FCANotifications to the FSANotifications to the FCA or PRAFCA_2013_16_PRA_2013/11
Effective Date: 21st March 2002
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SUP 11.9 Changes in close links
Chapter: Controllers and close links
Effective Date: 18th November 2004
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SYSC 19C.3 Remuneration principles
Chapter: BIPRU Remuneration Code [deleted]BIPRU Remuneration Code
Effective Date: 27th March 2014
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SUP 13.12 Sources of further information
Chapter: Exercise of passport rights by UK firmsExercise of passport rights by UK firms [deleted]
Effective Date: 18th October 2001