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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).

DEPP 6.5 Determining the appropriate level of financial penalty

As Published: 2008

DEPP 6.5 Determining the appropriate level of financial penalty

…

DEPP 6.5D Serious financial hardship

As Published: 2010

DEPP 6.5D Serious financial hardship

…

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 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

…

DEPP 6.2 Deciding whether to take action

As Published: 2007

DEPP 6.2 Deciding whether to take action

…

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

As Published: 2010

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

…

DEPP 2.5 Provision for certain categories of decision

As Published: 2007

DEPP 2.5 Provision for certain categories of decision

…

DEPP 6.7 Discount for early settlement

As Published: 2010

DEPP 6.7 Discount for early settlement

…

DEPP 5.1 Settlement decision makers

As Published: 2007

DEPP 5.1 Settlement decision makers

…

FEES 4.4 Information on which fees are calculated

As Published: 2007

FEES 4.4 Information on which fees are calculated

…

DEPP 6.6 Financial penalties for late and incomplete submission of reports

As Published: 2010

DEPP 6.6 Financial penalties for late and incomplete submission of reports

…

EG 7.1 The FCA’s use of sanctions

As Published: 2015

EG 7.1 The FCA’s use of sanctions

…

FEES 2.1 Introduction

As Published: 2005

FEES 2.1 Introduction

…

SUP 6.4 Applications for cancellation of permission

As Published: 2004

SUP 6.4 Applications for cancellation of permission

…

EG 1.1 Overview

As Published: 2015

EG 1.1 Overview

…

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

As Published: 2016

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

…

REC 4.9 Disciplinary measures

As Published: 2013

REC 4.9 Disciplinary measures

…

DEPP 6A.2 Deciding whether to take action

As Published: 2013

DEPP 6A.2 Deciding whether to take action

…

EG 2.11 Senior management responsibility

As Published: 2015

EG 2.11 Senior management responsibility

…

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

As Published: 2016

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

…

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