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

LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

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COCON 4.2 Specific guidance on senior manager conduct rules

As Published: 2015

COCON 4.2 Specific guidance on senior manager conduct rules

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FEES 1.1 Application and Purpose

As Published: 2005

FEES 1.1 Application and Purpose

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LR 6.5 Controlling shareholders

As Published: 2017

LR 6.5 Controlling shareholders

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DTR 5.7 Notification of combined holdings

As Published: 2009

DTR 5.7 Notification of combined holdings

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MAR 5A.3 Specific requirements for OTFs

As Published: 2017

MAR 5A.3 Specific requirements for OTFs

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SYSC 6.1 Compliance

As Published: 2006

SYSC 6.1 Compliance

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SYSC 1.4 Application of SYSC 11 to 28

As Published: 2006

SYSC 1.4 Application of SYSC 11 to 28

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REC 2.3 Financial resources

As Published: 2004

REC 2.3 Financial resources

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REC 3.26 Proposals to make regulatory provision

As Published: 2007

REC 3.26 Proposals to make regulatory provision

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LR 15.3 Listing applications and procedures

As Published: 2010

LR 15.3 Listing applications and procedures

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LR 16.3 Listing applications

As Published: 2008

LR 16.3 Listing applications

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LR 15.2 Requirements for listing

As Published: 2007

LR 15.2 Requirements for listing

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SUP 3.8 Rights and duties of auditors

As Published: 2004

SUP 3.8 Rights and duties of auditors

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SUP 15.14 Notifications under the Payment Services Regulations

As Published: 2018

SUP 15.14 Notifications under the Payment Services Regulations

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IFPRU 6.2 Guidance on market risk

As Published: 2014

IFPRU 6.2 Guidance on market risk

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EG 7.2 Alternatives to sanctions

As Published: 2015

EG 7.2 Alternatives to sanctions

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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

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IPRU-INV 13.1A Capital resources and professional indemnity insurance requirements for an exempt CAD firm

As Published: 2010

IPRU-INV 13.1A Capital resources and professional indemnity insurance requirements for an exempt CAD firm

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LR 12.5 Purchase of own securities other than equity shares

As Published: 2007

LR 12.5 Purchase of own securities other than equity shares

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