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

EG 15.4 Disqualification under section 249 or section 261K

As Published: 2016

EG 15.4 Disqualification under section 249 or section 261K

REC 3.9 Fees and incentive schemes

As Published: 2013

REC 3.9 Fees and incentive schemes

REC 3.19 Investigations

As Published: 2011

REC 3.19 Investigations

REC 3.12 Legal proceedings

As Published: 2013

REC 3.12 Legal proceedings

REC 3.7 Auditors

As Published: 2013

REC 3.7 Auditors

REC 4.2C Control over a UK RIE

As Published: 2007

REC 4.2C Control over a UK RIE

SUP 12.7 Notification requirements

As Published: 2002

SUP 12.7 Notification requirements

PERG 8.20 Additional restriction on the promotion of collective investment schemes

As Published: 2005

PERG 8.20 Additional restriction on the promotion of collective investment schemes

SUP 15.6 Inaccurate, false or misleading information

As Published: 2005

SUP 15.6 Inaccurate, false or misleading information

SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation

As Published: 2001

SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation

MAR 5.7 Pre-trade transparency requirements for shares

As Published: 2007

MAR 5.7 Pre-trade transparency requirements for shares

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

As Published: 2004

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

DEPP 5.1 Settlement decision makers

As Published: 2007

DEPP 5.1 Settlement decision makers

COBS 20.2 Treating with-profits policyholders fairly

As Published: 2009

COBS 20.2 Treating with-profits policyholders fairly

SUP 5.4 Appointment and reporting process

As Published: 2001

SUP 5.4 Appointment and reporting process

PERG 8.12 Exemptions applying to all controlled activities

As Published: 2005

PERG 8.12 Exemptions applying to all controlled activities

REC 4.2B Exercise of passport rights by a UK RIE

As Published: 2007

REC 4.2B Exercise of passport rights by a UK RIE

COLL 7.1 Introduction

As Published: 2007

COLL 7.1 Introduction

IFPRU 11.5 Intra-group financial support

As Published: 2015

IFPRU 11.5 Intra-group financial support

COLL 8.2 Constitution

As Published: 2007

COLL 8.2 Constitution