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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

SUP 16.12 Integrated Regulatory Reporting

As Published: 2006

SUP 16.12 Integrated Regulatory Reporting

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)

SUP 8.3 Applying for a waiver

As Published: 2002

SUP 8.3 Applying for a waiver

SUP 13A.1 Application and purpose

As Published: 2005

SUP 13A.1 Application and purpose

DEPP 6.5D Serious financial hardship

As Published: 2010

DEPP 6.5D Serious financial hardship

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

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

As Published: 2013

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

SUP 9.1 Application and purpose

As Published: 2001

SUP 9.1 Application and purpose

EG 7.5 Payment of financial penalties

As Published: 2016

EG 7.5 Payment of financial penalties

MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

ICOBS 2.1 Client categorisation

As Published: 2007

ICOBS 2.1 Client categorisation

TC 2.1 Assessing and maintaining competence

As Published: 2002

TC 2.1 Assessing and maintaining competence

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 19.2 Friendly Societies Act 1974 (FSA74), Friendly Societies Act 1992 (FSA92), Co-operative and Community Benefit Societies Act 2014 (CCBSA14) and Co-operative and Community Benefit Societies Act (Northern Ireland) 1969 (CCBSA(NI)69)

As Published: 2016

EG 19.2 Friendly Societies Act 1974 (FSA74), Friendly Societies Act 1992 (FSA92), Co-operative and Community Benefit Societies Act 2014 (CCBSA14) and Co-operative and Community Benefit Societies Act (Northern Ireland) 1969 (CCBSA(NI)69)

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

As Published: 2008

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

PRIN 2.1 The Principles

As Published: 2017

PRIN 2.1 The Principles

SYSC 6.2 Internal audit

As Published: 2007

SYSC 6.2 Internal audit

CASS 6.4 Use of safe custody assets

As Published: 2007

CASS 6.4 Use of safe custody assets

COLL 12.3 EEA UCITS management companies

As Published: 2013

COLL 12.3 EEA UCITS management companies

EG 4.9 Involvement of FCA supervisors during the investigation phase

As Published: 2016

EG 4.9 Involvement of FCA supervisors during the investigation phase