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

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?

SUP 5.6 Confidential information and privilege

As Published: 2001

SUP 5.6 Confidential information and privilege

REC 3.1 Application and purpose

As Published: 2011

REC 3.1 Application and purpose

EG 20.2 Information gathering and investigation powers

As Published: 2016

EG 20.2 Information gathering and investigation powers

PERG 13.7 The territorial application of MiFID

As Published: 2007

PERG 13.7 The territorial application of MiFID

SUP 13.11 Record keeping

As Published: 2007

SUP 13.11 Record keeping

PR 5.3 Certificate of approval

As Published: 2007

PR 5.3 Certificate of approval

PERG 8.21 Company statements, announcements and briefings

As Published: 2005

PERG 8.21 Company statements, announcements and briefings

REC 2.13 Promotion and maintenance of standards

As Published: 2004

REC 2.13 Promotion and maintenance of standards

SUP 13A.6 Which rules will an incoming EEA firm be subject to?

As Published: 2007

SUP 13A.6 Which rules will an incoming EEA firm be subject to?

COLL 4.3 Approvals and notifications

As Published: 2006

COLL 4.3 Approvals and notifications

COLL 8.5 Powers and responsibilities

As Published: 2006

COLL 8.5 Powers and responsibilities

DISP App 1.1 Introduction

As Published: 2005

DISP App 1.1 Introduction

EG 8.3 Use of the own-initiative powers in urgent cases

As Published: 2016

EG 8.3 Use of the own-initiative powers in urgent cases

REC 2.14 Rules and consultation

As Published: 2004

REC 2.14 Rules and consultation

EG 2.8 Enforcement and the FCA's Principles for Business (‘the Principles’)

As Published: 2016

EG 2.8 Enforcement and the FCA's Principles for Business (‘the Principles’)

REC 2.16 Complaints

As Published: 2004

REC 2.16 Complaints

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

As Published: 2010

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

REC 6A.2 Removal of passport rights from EEA market operator

As Published: 2007

REC 6A.2 Removal of passport rights from EEA market operator

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

As Published: 2016

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative