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

MAR 9.5 Frequently Asked Questions

As Published: 2017

MAR 9.5 Frequently Asked Questions

DISP 2.3 To which activities does the Compulsory Jurisdiction apply?

As Published: 2003

DISP 2.3 To which activities does the Compulsory Jurisdiction apply?

GENPRU 2.2 Capital resources

As Published: 2006

GENPRU 2.2 Capital resources

COBS 4.1 Application

As Published: 2007

COBS 4.1 Application

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

As Published: 2006

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

SYSC 4.4 Apportionment of responsibilities

As Published: 2008

SYSC 4.4 Apportionment of responsibilities

MCOB 1.3 General application: where?

As Published: 2004

MCOB 1.3 General application: where?

SUP 15.14 Notifications under the Payment Services Regulations

As Published: 2018

SUP 15.14 Notifications under the Payment Services Regulations

GEN 5.1 Application and purpose

As Published: 2003

GEN 5.1 Application and purpose

SUP 11.9 Changes in close links

As Published: 2004

SUP 11.9 Changes in close links

SUP 10C.9 Minimising overlap with the PRA approved persons regime

As Published: 2015

SUP 10C.9 Minimising overlap with the PRA approved persons regime

SUP 15.6 Inaccurate, false or misleading information

As Published: 2005

SUP 15.6 Inaccurate, false or misleading information

MCOB 1.2 General application: who? what?

As Published: 2005

MCOB 1.2 General application: who? what?

SUP 10A.12 Procedures relating to FCA-approved persons

As Published: 2014

SUP 10A.12 Procedures relating to FCA-approved persons

PERG 5.11 Other aspects of exclusions

As Published: 2006

PERG 5.11 Other aspects of exclusions

SUP 16.10 Verification of firm details

As Published: 2004

SUP 16.10 Verification of firm details

LR 14.3 Continuing obligations

As Published: 2006

LR 14.3 Continuing obligations

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business

As Published: 2007

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business

SUP 10C.3 General material about the definition of controlled functions

As Published: 2015

SUP 10C.3 General material about the definition of controlled functions

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

DTR 8.5 Supervision of primary information providers

As Published: 2014

DTR 8.5 Supervision of primary information providers

PERG 4.10A Activities regulated under the Mortgage Credit Directive

As Published: 2015

PERG 4.10A Activities regulated under the Mortgage Credit Directive

REC 3.1 Application and purpose

As Published: 2011

REC 3.1 Application and purpose

FEES 13.2 The IML levy

As Published: 2017

FEES 13.2 The IML levy

REC 4.2D Suspension and removal of financial instruments from trading by the FCA

As Published: 2007

REC 4.2D Suspension and removal of financial instruments from trading by the FCA

SUP 15.8 Notification in respect of particular products and services

As Published: 2001

SUP 15.8 Notification in respect of particular products and services

SYSC 3.2 Areas covered by systems and controls

As Published: 2002

SYSC 3.2 Areas covered by systems and controls

REC 2.3 Financial resources

As Published: 2004

REC 2.3 Financial resources

SYSC 5.1 Skills, knowledge and expertise

As Published: 2006

SYSC 5.1 Skills, knowledge and expertise

PERG 13.2 General

As Published: 2011

PERG 13.2 General

COND 2.2 Location of offices

As Published: 2004

COND 2.2 Location of offices

REC 3.14A Operation of a trading venue

As Published: 2007

REC 3.14A Operation of a trading venue

EG 6.2 Publicity during, or upon the conclusion of regulatory action

As Published: 2015

EG 6.2 Publicity during, or upon the conclusion of regulatory action

ICOBS 3.2 E-Commerce

As Published: 2013

ICOBS 3.2 E-Commerce

SUP 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

As Published: 2008

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

COLL 7.7 UCITS mergers

As Published: 2011

COLL 7.7 UCITS mergers

PERG 9.1 Application and Purpose

As Published: 2007

PERG 9.1 Application and Purpose

SUP 13.1 Application and purpose

As Published: 2001

SUP 13.1 Application and purpose

RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters