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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 3.5 Auditors' independence

As Published: 2008

SUP 3.5 Auditors' independence

…

MAR 5A.8 Reporting requirements

As Published: 2017

MAR 5A.8 Reporting requirements

…

PERG 5.14 Exemptions

As Published: 2011

PERG 5.14 Exemptions

…

PERG 8.7 Engage in investment activity

As Published: 2011

PERG 8.7 Engage in investment activity

…

DISP 3.2 Jurisdiction

As Published: 2007

DISP 3.2 Jurisdiction

…

REC 4.7 The section 297 power to revoke recognition

As Published: 2007

REC 4.7 The section 297 power to revoke recognition

…

FEES App 1 Annex 3 Emergencies

As Published: 2012

FEES App 1 Annex 3 Emergencies

…

EG 12.1 The FCA’s general approach

As Published: 2016

EG 12.1 The FCA’s general approach

…

SUP App 2.1 Application

As Published: 2004

SUP App 2.1 Application

…

PERG 8.10 Types of financial promotion

As Published: 2005

PERG 8.10 Types of financial promotion

…

MAR 6.2 Purpose

As Published: 2017

MAR 6.2 Purpose

…

EG 2.7 Sources of cases

As Published: 2016

EG 2.7 Sources of cases

…

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

…

FEES 12.1 Application and Purpose

As Published: 2015

FEES 12.1 Application and Purpose

…

EG 19.15 The conduct of investigations under the Money Laundering Regulations

As Published: 2016

EG 19.15 The conduct of investigations under the Money Laundering Regulations

…

DISP 1.4 Complaints resolution rules

As Published: 2003

DISP 1.4 Complaints resolution rules

…

EG 15.4 Disqualification under section 249 or section 261K

As Published: 2016

EG 15.4 Disqualification under section 249 or section 261K

…

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

As Published: 2015

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

…

DEPP 8.2 Use of the own-initiative variation of approval power: general

As Published: 2015

DEPP 8.2 Use of the own-initiative variation of approval power: general

…

EG 2.13 Late reporting or non-submission of reports to the FCA

As Published: 2016

EG 2.13 Late reporting or non-submission of reports to the FCA

…

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