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

REC 4.2F Information gathering power on FCA’s own initiative

As Published: 2013

REC 4.2F Information gathering power on FCA’s own initiative

SUP 16.2 Purpose

As Published: 2001

SUP 16.2 Purpose

REC 3.9 Fees and incentive schemes

As Published: 2013

REC 3.9 Fees and incentive schemes

EG 4.9 Involvement of FCA supervisors during the investigation phase

As Published: 2016

EG 4.9 Involvement of FCA supervisors during the investigation phase

SUP 4.1 Application

As Published: 2003

SUP 4.1 Application

DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

DEPP 6A.3 Determining the appropriate length of the period of suspension or restriction

As Published: 2011

DEPP 6A.3 Determining the appropriate length of the period of suspension or restriction

REC 3.19 Investigations

As Published: 2011

REC 3.19 Investigations

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

EG 2.7 Sources of cases

As Published: 2016

EG 2.7 Sources of cases

REC 3.12 Legal proceedings

As Published: 2013

REC 3.12 Legal proceedings

MCOB 13.3 Dealing fairly with customers with a payment shortfall: policy and procedures

As Published: 2006

MCOB 13.3 Dealing fairly with customers with a payment shortfall: policy and procedures

APER 4.6 Statement of Principle 6

As Published: 2001

APER 4.6 Statement of Principle 6

CASS 11.3 Responsibility for CASS operational oversight

As Published: 2014

CASS 11.3 Responsibility for CASS operational oversight

DISP 1.3 Complaints handling rules

As Published: 2003

DISP 1.3 Complaints handling rules

SUP 15.10 Reporting suspicious transactions (market abuse)

As Published: 2005

SUP 15.10 Reporting suspicious transactions (market abuse)

REC 1.1 Application

As Published: 2005

REC 1.1 Application

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

As Published: 2006

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

BIPRU 7.9 Use of a CAD 1 model

As Published: 2007

BIPRU 7.9 Use of a CAD 1 model

SYSC 1.1A Application

As Published: 2008

SYSC 1.1A Application