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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).

REC 2.16A Operation of a multilateral trading facility

As Published: 2007

REC 2.16A Operation of a multilateral trading facility

…

EG 15.4 Disqualification under section 249 or section 261K

As Published: 2016

EG 15.4 Disqualification under section 249 or section 261K

…

SUP 12.7 Notification requirements

As Published: 2002

SUP 12.7 Notification requirements

…

REC 2.7 Access to facilities

As Published: 2004

REC 2.7 Access to facilities

…

EG 20.3 Decision making under the CCA Order

As Published: 2016

EG 20.3 Decision making under the CCA Order

…

SUP 10A.15 References and accurate information

As Published: 2016

SUP 10A.15 References and accurate information

…

EG 9.4 Prohibition orders against exempt persons and members of professional firms

As Published: 2016

EG 9.4 Prohibition orders against exempt persons and members of professional firms

…

SYSC 4.1 General requirements

As Published: 2002

SYSC 4.1 General requirements

…

REC 3.4 Key individuals and internal organisation

As Published: 2007

REC 3.4 Key individuals and internal organisation

…

APER 4.5 Statement of Principle 5

As Published: 2008

APER 4.5 Statement of Principle 5

…

CONC 2.7 Distance marketing

As Published: 2014

CONC 2.7 Distance marketing

…

DEPP 6.4 Financial penalty or public censure

As Published: 2010

DEPP 6.4 Financial penalty or public censure

…

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

As Published: 2007

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

…

SUP 3.1 Application

As Published: 2001

SUP 3.1 Application

…

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

As Published: 2012

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

…

RCB 6.2 Policy on decision and warning notices

As Published: 2008

RCB 6.2 Policy on decision and warning notices

…

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

As Published: 2016

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

…

SUP 10C.7 Other overall responsibility function (SMF18)

As Published: 2015

SUP 10C.7 Other overall responsibility function (SMF18)

…

FIT 2.1 Honesty, integrity and reputation

As Published: 2003

FIT 2.1 Honesty, integrity and reputation

…

SUP 13.6 Changes to branches

As Published: 2001

SUP 13.6 Changes to branches

…

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