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Effective Period

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

COND 2.3 Effective supervision

As Published: 2004

COND 2.3 Effective supervision

COBS 6.3 Disclosing information about services, fees and commission

As Published: 2007

COBS 6.3 Disclosing information about services, fees and commission

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

BIPRU 8.7 Consolidated capital resources requirements

As Published: 2010

BIPRU 8.7 Consolidated capital resources requirements

COND 2.2 Location of offices

As Published: 2004

COND 2.2 Location of offices

SUP 10C.10 Application for approval and withdrawing an application for approval

As Published: 2015

SUP 10C.10 Application for approval and withdrawing an application for approval

IFPRU 1.1 Application and Purpose

As Published: 2014

IFPRU 1.1 Application and Purpose

SUP 11.8 Changes in the circumstances of existing controllers

As Published: 2004

SUP 11.8 Changes in the circumstances of existing controllers

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

As Published: 2006

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

SUP 10A.6 FCA governing functions

As Published: 2013

SUP 10A.6 FCA governing functions

PERG 5.11 Other aspects of exclusions

As Published: 2006

PERG 5.11 Other aspects of exclusions

DEPP 7.2 Interviews

As Published: 2009

DEPP 7.2 Interviews

SUP 15.5 Core information requirements

As Published: 2005

SUP 15.5 Core information requirements

SUP 11.4 Requirements on firms

As Published: 2004

SUP 11.4 Requirements on firms

COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs

As Published: 2007

COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs

REC 3.14 Products, services and normal hours of operation

As Published: 2007

REC 3.14 Products, services and normal hours of operation

ICOBS 1.1 The general application rule

As Published: 2007

ICOBS 1.1 The general application rule

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

REC 3.15 Suspension of services and inability to operate facilities

As Published: 2007

REC 3.15 Suspension of services and inability to operate facilities