To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms
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: 26th July 2007
-
DEPP 7.2 Interviews
Chapter: Statement of policy on section 169(7) interviews
Effective Date: 27th November 2009
-
PERG 8.14 Other financial promotions
Chapter: Financial promotion and related activities
Effective Date: 15th September 2005
-
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
-
SUP 16.23 Annual Financial Crime Report
Chapter: Reporting requirements
Effective Date: 29th July 2016
-
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 18.2 Insurance business transfers
Chapter: Transfers of business
Effective Date: 18th November 2004
-
EG 19.34 Markets in Financial Instruments Regulations 2017
Chapter: TOPIC TITLE
Effective Date: 8th December 2017
-
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
-
EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017
Chapter: TOPIC TITLE
Effective Date: 4th January 2018
-
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
-
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
-
EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling
Chapter: TOPIC TITLE
Effective Date: 26th February 2016
-
FEES 4.4 Information on which fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
-
EG 19.35 Data Reporting Services Regulations 2017
Chapter: TOPIC TITLE
Effective Date: 8th December 2017
-
IFPRU 2.3 Supervisory review and evaluation process: internal capital adequacy standards
Chapter: Supervisory processes and governance [deleted]FCA 2021/39Supervisory processes and governance
Effective Date: 30th January 2014