To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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SUP 8.3 Applying for a waiver
Chapter: Waiver and modification of rules
Effective Date: 19th September 2002
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REC 5.2 Application process
Chapter: Applications for Recognition (UK recognised bodies)
Effective Date: 21st June 2001
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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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SUP 6.3 Applications for variation of permission
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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REC 6.7 Notification rules for overseas recognised bodies
Chapter: Overseas Investment Exchanges and Overseas Clearing Houses
Effective Date: 21st June 2001
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SUP 5.1 Application and purpose
Chapter: Reports by skilled persons
Effective Date: 20th September 2001
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REC 6.5 FSA decision on recognition
Chapter: Overseas Investment Exchanges and Overseas Clearing Houses
Effective Date: 21st June 2001
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SUP 8.6 Publication of waivers
Chapter: Waiver and modification of rules
Effective Date: 18th March 2004
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SUP 12.1 Application and purpose
Chapter: Appointed representatives
Effective Date: 15th January 2004
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SUP 15.2 Purpose
Chapter: Notifications to the FCANotifications to the FSANotifications to the FCA or PRAFCA_2013_16_PRA_2013/11
Effective Date: 21st June 2001
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SUP 6.4 Applications for cancellation of permission
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: 15th January 2004
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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
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SYSC 4.1 Application and purpose
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: 21st March 2002
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SUP 6.5 Ending authorisation
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: 21st June 2001
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SUP 2.1 Application and purpose
Chapter: Information gathering by the FSA on its own initiative Information gathering by the appropriate regulator on its own initiativeFCA 2014/14Information gathering by the FCA or PRA on its own initiativeFCA 2014/21
Effective Date: 20th March 2003
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SUP 5.3 Policy on the use of skilled persons
Chapter: Reports by skilled persons
Effective Date: 21st June 2001