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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 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

REC 4.9 Disciplinary measures

As Published: 2013

REC 4.9 Disciplinary measures

EG 5.1 Settlement and the FCA – an overview

As Published: 2016

EG 5.1 Settlement and the FCA – an overview

EG 2.9 FCA guidance and supporting materials

As Published: 2016

EG 2.9 FCA guidance and supporting materials

EG 19.6 Regulated Activities Order 2001 (RAO)

As Published: 2016

EG 19.6 Regulated Activities Order 2001 (RAO)

REC 4.1 Application and purpose

As Published: 2007

REC 4.1 Application and purpose

SUP 13A.3 Qualifications for authorisation under the Act

As Published: 2007

SUP 13A.3 Qualifications for authorisation under the Act

REC 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts

DEPP 2.2 Warning notices and first supervisory notices

As Published: 2007

DEPP 2.2 Warning notices and first supervisory notices

DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

EG 19.7 The Open-Ended Investment Companies Regulations 2001

As Published: 2016

EG 19.7 The Open-Ended Investment Companies Regulations 2001

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

As Published: 2010

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

PERG 8.14 Other financial promotions

As Published: 2005

PERG 8.14 Other financial promotions

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

EG App 2.1 Purpose, status and application of the guidelines

As Published: 2015

EG App 2.1 Purpose, status and application of the guidelines

RCB 4.2 Enforcement powers and penalties

As Published: 2010

RCB 4.2 Enforcement powers and penalties

DEPP 2.1 Statutory notices

As Published: 2007

DEPP 2.1 Statutory notices

EG 19.9 Electronic commerce activity directions: the FCA’s policy

As Published: 2016

EG 19.9 Electronic commerce activity directions: the FCA’s policy

EG 19.1 Introduction

As Published: 2016

EG 19.1 Introduction

SUP 13A.4 EEA firms establishing a branch in the United Kingdom

As Published: 2007

SUP 13A.4 EEA firms establishing a branch in the United Kingdom