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

EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)

As Published: 2016

EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)

REC 3.24 Transfers of ownership

As Published: 2007

REC 3.24 Transfers of ownership

REC 3.22 Restriction of, or instruction to close out, open positions

As Published: 2011

REC 3.22 Restriction of, or instruction to close out, open positions

REC 4.9 Disciplinary measures

As Published: 2013

REC 4.9 Disciplinary measures

SYSC 19C.3 Remuneration principles

As Published: 2014

SYSC 19C.3 Remuneration principles

COBS 11.8 Recording telephone conversations and electronic communications [deleted]

As Published: 2008

COBS 11.8 Recording telephone conversations and electronic communications [deleted]

REC 6.8 Powers to supervise

As Published: 2013

REC 6.8 Powers to supervise

MAR 7A.4 Requirements when providing direct electronic access

As Published: 2017

MAR 7A.4 Requirements when providing direct electronic access

PR 3.2 Filing and publication of prospectus

As Published: 2012

PR 3.2 Filing and publication of prospectus

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

CASS 11.3 Responsibility for CASS operational oversight

As Published: 2015

CASS 11.3 Responsibility for CASS operational oversight

MAR 10.1 Application

As Published: 2017

MAR 10.1 Application

REC 2.12 Availability of relevant information and admission of financial instruments to trading

As Published: 2004

REC 2.12 Availability of relevant information and admission of financial instruments to trading

REC 2.9 Transaction recording

As Published: 2004

REC 2.9 Transaction recording

PERG 2.8 Exclusions applicable to particular regulated activities

As Published: 2005

PERG 2.8 Exclusions applicable to particular regulated activities

SYSC 14.1 Application

As Published: 2006

SYSC 14.1 Application

SYSC 4.3A Management body and nomination committee

As Published: 2014

SYSC 4.3A Management body and nomination committee

SUP 18.1 Application

As Published: 2001

SUP 18.1 Application

EG App 3.1 The FCA

As Published: 2015

EG App 3.1 The FCA

PR 5.6 Miscellaneous

As Published: 2007

PR 5.6 Miscellaneous