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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).

SUP 10A.6 FCA governing functions

As Published: 2013

SUP 10A.6 FCA governing functions

…

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

As Published: 2015

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

…

DTR 4.4 Exemptions

As Published: 2010

DTR 4.4 Exemptions

…

COCON 4.2 Specific guidance on senior manager conduct rules

As Published: 2015

COCON 4.2 Specific guidance on senior manager conduct rules

…

MAR 7A.3 Requirements for algorithmic trading

As Published: 2017

MAR 7A.3 Requirements for algorithmic trading

…

CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

…

SYSC 19A.1 General application and purpose

As Published: 2010

SYSC 19A.1 General application and purpose

…

MAR 5.3A Systems and controls for algorithmic trading

As Published: 2017

MAR 5.3A Systems and controls for algorithmic trading

…

LR 7.2 The Listing and Premium Listing Principles

As Published: 2009

LR 7.2 The Listing and Premium Listing Principles

…

RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

…

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

As Published: 2010

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

…

MCOB 3A.1 Application and purpose

As Published: 2015

MCOB 3A.1 Application and purpose

…

LR 2.2 Requirements for all securities

As Published: 2007

LR 2.2 Requirements for all securities

…

COCON 1.2 Investments

As Published: 2015

COCON 1.2 Investments

…

PR 3.1 Approval of prospectus

As Published: 2005

PR 3.1 Approval of prospectus

…

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

…

CONC 8.3 Pre contract information and advice requirements

As Published: 2014

CONC 8.3 Pre contract information and advice requirements

…

LR 10.8 Miscellaneous

As Published: 2007

LR 10.8 Miscellaneous

…

REC 3.25 Significant breaches of rules and disorderly trading conditions

As Published: 2007

REC 3.25 Significant breaches of rules and disorderly trading conditions

…

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation

As Published: 2016

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation

…

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