To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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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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REC 5.2 Application process
Chapter: Applications for Recognition (UK recognised bodies)
Effective Date: 25th January 2007
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REC 4.7 The section 297 power to revoke recognition
Chapter: Supervision
Effective Date: 25th January 2007
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REC 4.5 FCA supervision of action by UK RIEs under their default rules
Chapter: Supervision
Effective Date: 19th March 2013
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EG 19.34 Markets in Financial Instruments Regulations 2017
Chapter: TOPIC TITLE
Effective Date: 8th December 2017
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SUP 16.12 Integrated Regulatory Reporting
Chapter: Reporting requirements
Effective Date: 21st December 2006
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REC 2.5 Systems and controls, algorithmic trading and conflicts
Chapter: Recognition requirements
Effective Date: 15th July 2004
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DEPP 3.2 The operation of the RDC
Chapter: The nature and procedure of the RDC
Effective Date: 19th March 2013
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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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REC 4.6 The section 296 power to give directions
Chapter: Supervision
Effective Date: 25th January 2007
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SUP 16.23 Annual Financial Crime Report
Chapter: Reporting requirements
Effective Date: 29th July 2016
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DEPP 1.2 Introduction to statutory notices
Chapter: Application and Purpose
Effective Date: 24th February 2011
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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
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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
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REC 2A.4 Power and procedure for RAP penalties and censures
Chapter: Recognised Auction PlatformsRecognised Auction Platforms [deleted]Recognised Auction Platforms
Effective Date: 31st October 2012
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REC 3.3 Waivers
Chapter: Notification rules for UK recognised bodies
Effective Date: 19th March 2013
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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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DEPP 4.1 Executive decision maker
Chapter: Decisions by FSA staff under executive procedures
Effective Date: 26th July 2007