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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).

FEES 2.1 Introduction

As Published: 2005

FEES 2.1 Introduction

…

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?

…

PERG 5.2 Introduction

As Published: 2005

PERG 5.2 Introduction

…

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

…

REC 4.9 Disciplinary measures

As Published: 2013

REC 4.9 Disciplinary measures

…

EG 3.5 Official listing investigations (section 97)

As Published: 2016

EG 3.5 Official listing investigations (section 97)

…

EG 4.5 Notice of termination of investigations

As Published: 2016

EG 4.5 Notice of termination of investigations

…

SUP 10A.14 Changes to an FCA-approved person's details

As Published: 2014

SUP 10A.14 Changes to an FCA-approved person's details

…

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

As Published: 2011

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

…

FEES 6.5 Compensation costs

As Published: 2006

FEES 6.5 Compensation costs

…

DEPP 4.1 Executive decision maker

As Published: 2007

DEPP 4.1 Executive decision maker

…

EG 11.1 Restitution orders under sections 382, 383 and 384 of the Act: the FCA's general approach

As Published: 2016

EG 11.1 Restitution orders under sections 382, 383 and 384 of the Act: the FCA's general approach

…

EG 7.2 Alternatives to sanctions

As Published: 2015

EG 7.2 Alternatives to sanctions

…

MAR 10.3 Position management controls

As Published: 2017

MAR 10.3 Position management controls

…

LR 18.2 Requirements for listing

As Published: 2007

LR 18.2 Requirements for listing

…

SUP 10C.3 General material about the definition of controlled functions

As Published: 2015

SUP 10C.3 General material about the definition of controlled functions

…

SUP 13.10 Applicable provisions

As Published: 2013

SUP 13.10 Applicable provisions

…

SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation

As Published: 2001

SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation

…

EG 18.1 Cancellation on the FCA’s own-initiative

As Published: 2016

EG 18.1 Cancellation on the FCA’s own-initiative

…

PR 2.3 Minimum information to be included in a prospectus

As Published: 2007

PR 2.3 Minimum information to be included in a prospectus

…

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