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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).

RCB 4.2 Enforcement powers and penalties

As Published: 2010

RCB 4.2 Enforcement powers and penalties

…

DEPP 6A.2 Deciding whether to take action

As Published: 2013

DEPP 6A.2 Deciding whether to take action

…

INSPRU 7.1 Application

As Published: 2006

INSPRU 7.1 Application

…

SUP 8A.1 Application, purpose and interpretation

As Published: 2014

SUP 8A.1 Application, purpose and interpretation

…

MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

As Published: 2007

MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

…

COCON 2.3 Firms: training and breaches

As Published: 2015

COCON 2.3 Firms: training and breaches

…

REC 2A.4 Power and procedure for RAP penalties and censures

As Published: 2012

REC 2A.4 Power and procedure for RAP penalties and censures

…

SUP 10A.9 Significant management functions

As Published: 2014

SUP 10A.9 Significant management functions

…

SUP 8A.2 Introduction and conditions

As Published: 2014

SUP 8A.2 Introduction and conditions

…

SYSC 2.1 Apportionment of Responsibilities

As Published: 2002

SYSC 2.1 Apportionment of Responsibilities

…

SUP 13.6 Changes to branches

As Published: 2001

SUP 13.6 Changes to branches

…

COLL 12.2 UK UCITS management companies

As Published: 2016

COLL 12.2 UK UCITS management companies

…

PR 5.5 Persons responsible for a prospectus

As Published: 2012

PR 5.5 Persons responsible for a prospectus

…

FEES 1.1 Application and Purpose

As Published: 2005

FEES 1.1 Application and Purpose

…

BIPRU 12.2 Adequacy of liquidity resources

As Published: 2009

BIPRU 12.2 Adequacy of liquidity resources

…

REC 4.2 The supervisory relationship with UK recognised bodies

As Published: 2007

REC 4.2 The supervisory relationship with UK recognised bodies

…

DEPP 7.1 Application and purpose

As Published: 2007

DEPP 7.1 Application and purpose

…

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

…

PERG 8.20 Additional restriction on the promotion of collective investment schemes

As Published: 2005

PERG 8.20 Additional restriction on the promotion of collective investment schemes

…

REC 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts

…

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