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Section Provision

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

CONC 13.1 Application

As Published: 2014

CONC 13.1 Application

…

REC 3.5 Disciplinary action and events relating to key individuals

As Published: 2013

REC 3.5 Disciplinary action and events relating to key individuals

…

MAR 1.1 Application and interpretation

As Published: 2002

MAR 1.1 Application and interpretation

…

PERG 6.7 Examples

As Published: 2005

PERG 6.7 Examples

…

SUP 15.8 Notification in respect of particular products and services

As Published: 2001

SUP 15.8 Notification in respect of particular products and services

…

EG 16.4 The effect of a disapplication order

As Published: 2016

EG 16.4 The effect of a disapplication order

…

SYSC 19B.1 Application

As Published: 2013

SYSC 19B.1 Application

…

TC 3.1 Record-keeping requirements

As Published: 2007

TC 3.1 Record-keeping requirements

…

REC 2.8 Settlement and clearing facilitation services

As Published: 2004

REC 2.8 Settlement and clearing facilitation services

…

MCOB 12.1 Application

As Published: 2006

MCOB 12.1 Application

…

COLL 11.5 Auditors

As Published: 2013

COLL 11.5 Auditors

…

LR 15.6 Notifications and periodic financial information

As Published: 2007

LR 15.6 Notifications and periodic financial information

…

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

As Published: 2016

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

…

DEPP 6.4 Financial penalty or public censure

As Published: 2010

DEPP 6.4 Financial penalty or public censure

…

DEPP 6.5 Determining the appropriate level of financial penalty

As Published: 2008

DEPP 6.5 Determining the appropriate level of financial penalty

…

IFPRU 4.14 Counterparty credit risk

As Published: 2014

IFPRU 4.14 Counterparty credit risk

…

COND 1.2 Purpose

As Published: 2007

COND 1.2 Purpose

…

PERG 7.3 Does the activity require authorisation?

As Published: 2006

PERG 7.3 Does the activity require authorisation?

…

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

As Published: 2004

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

…

PERG 5.8 The regulated activities: advising on contracts of insurance

As Published: 2013

PERG 5.8 The regulated activities: advising on contracts of insurance

…

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