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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

MAR 6.1 Application

As Published: 2007

MAR 6.1 Application

COLL 6.2 Dealing

As Published: 2005

COLL 6.2 Dealing

COBS 9.5 Record keeping and retention periods for suitability records

As Published: 2007

COBS 9.5 Record keeping and retention periods for suitability records

PERG 8.9 Circumstances where the restriction in section 21 does not apply

As Published: 2005

PERG 8.9 Circumstances where the restriction in section 21 does not apply

FEES App 1 Annex 2 Further information on fees

As Published: 2012

FEES App 1 Annex 2 Further information on fees

REC 3.17 Inability to discharge regulatory functions

As Published: 2013

REC 3.17 Inability to discharge regulatory functions

REC 3.21 Criminal offences and civil prohibitions

As Published: 2013

REC 3.21 Criminal offences and civil prohibitions

SUP 15A.1 Application and notifications under EMIR

As Published: 2013

SUP 15A.1 Application and notifications under EMIR

RCB 3.3 Asset pool notifications

As Published: 2011

RCB 3.3 Asset pool notifications

SUP App 2.15 Run-off plans for closed with-profits funds

As Published: 2005

SUP App 2.15 Run-off plans for closed with-profits funds

CREDS 2.1 Application and purpose

As Published: 2011

CREDS 2.1 Application and purpose

COBS 11.7 Personal account dealing

As Published: 2007

COBS 11.7 Personal account dealing

COBS 6.1B Retail investment product provider and platform service provider requirements relating to adviser charging and remuneration

As Published: 2010

COBS 6.1B Retail investment product provider and platform service provider requirements relating to adviser charging and remuneration

PRIN 3.4 General

As Published: 2004

PRIN 3.4 General

PERG 8.33 Introducing

As Published: 2007

PERG 8.33 Introducing

COBS 11.5 Record keeping: client orders and transactions

As Published: 2007

COBS 11.5 Record keeping: client orders and transactions

CASS 5.8 Safe keeping of client's documents and other assets

As Published: 2010

CASS 5.8 Safe keeping of client's documents and other assets

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

As Published: 2007

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

PERG 5.9 The Regulated Activities: agreeing to carry on a regulated activity

As Published: 2005

PERG 5.9 The Regulated Activities: agreeing to carry on a regulated activity

COBS 4.11 Record keeping: financial promotion

As Published: 2007

COBS 4.11 Record keeping: financial promotion