To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
REC 4.5 FCA supervision of action by UK RIEs under their default rules
Chapter: Supervision
Effective Date: 19th March 2013
-
REC 5.2 Application process
Chapter: Applications for Recognition (UK recognised bodies)
Effective Date: 25th January 2007
-
DEPP 2.5 Provision for certain categories of decision
Chapter: Statutory notices and the allocation of decision making
Effective Date: 27th September 2007
-
REC 2.5 Systems and controls and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
FEES 4.4 Information on which fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
-
SUP 18.2 Insurance business transfers
Chapter: Transfers of business
Effective Date: 18th November 2004
-
FEES 3.2 Obligation to pay fees
Chapter: Application, Notification and Vetting Fees
Effective Date: 25th May 2006
-
SUP 16.12 Integrated Regulatory Reporting
Chapter: Reporting requirements
Effective Date: 21st December 2006
-
REC 3.3 Waivers
Chapter: Notification rules for UK recognised bodies
Effective Date: 19th March 2013
-
SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
Chapter: Appointed representatives
Effective Date: 15th January 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
-
COLL 6.12 Risk management policy and risk measurement
Chapter: Operating duties and responsibilities
Effective Date: 1st July 2011
-
REC 3.14A Operation of a regulated market or MTF
Chapter: Notification rules for UK recognised bodies
Effective Date: 25th January 2007
-
REC 4.2D Suspension and removal of financial instruments from trading
Chapter: Supervision
Effective Date: 25th January 2007
-
REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading
Chapter: Recognition requirements
Effective Date: 15th July 2004
-
RCB 2.3 Determination of registration
Chapter: Applications for registration
Effective Date: 8th December 2011
-
REC 4.7 The section 297 power to revoke recognition
Chapter: Supervision
Effective Date: 25th January 2007