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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).

EG 2.5 Cases where other authorities have an interest

As Published: 2016

EG 2.5 Cases where other authorities have an interest

…

SUP 10A.10 Customer-dealing functions

As Published: 2014

SUP 10A.10 Customer-dealing functions

…

PRIN 3.4 General

As Published: 2004

PRIN 3.4 General

…

PERG 2.11 Persons who are exempt for credit-related regulated activities

As Published: 2007

PERG 2.11 Persons who are exempt for credit-related regulated activities

…

CONC 7.6 Exercise of continuous payment authority

As Published: 2014

CONC 7.6 Exercise of continuous payment authority

…

GEN 4.3 Letter disclosure

As Published: 2005

GEN 4.3 Letter disclosure

…

LR 5.6 Reverse takeovers

As Published: 2012

LR 5.6 Reverse takeovers

…

SUP 13.12 Sources of further information

As Published: 2001

SUP 13.12 Sources of further information

…

MCOB 4.8A Execution-only sales

As Published: 2012

MCOB 4.8A Execution-only sales

…

INSPRU 1.2 Mathematical reserves

As Published: 2006

INSPRU 1.2 Mathematical reserves

…

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

As Published: 2007

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

…

REC 3.15 Suspension of services and inability to operate facilities

As Published: 2007

REC 3.15 Suspension of services and inability to operate facilities

…

COBS 11.2 Best execution for AIFMs and residual CIS operators

As Published: 2007

COBS 11.2 Best execution for AIFMs and residual CIS operators

…

REC 4.1 Application and purpose

As Published: 2007

REC 4.1 Application and purpose

…

REC 3.19 Investigations

As Published: 2011

REC 3.19 Investigations

…

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

…

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

…

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

As Published: 2007

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

…

SUP 10A.9 Significant management functions

As Published: 2014

SUP 10A.9 Significant management functions

…

SUP 15.11 Notification of COCON breaches and disciplinary action

As Published: 2015

SUP 15.11 Notification of COCON breaches and disciplinary action

…

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