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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 18.2 Requirements for listing

As Published: 2007

LR 18.2 Requirements for listing

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

As Published: 2016

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

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

SYSC 1.1A Application

As Published: 2008

SYSC 1.1A Application

PERG 5.4 The business test

As Published: 2018

PERG 5.4 The business test

SYSC 6.3 Financial crime

As Published: 2008

SYSC 6.3 Financial crime

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

As Published: 2004

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

CREDS 9.1 Application and purpose

As Published: 2011

CREDS 9.1 Application and purpose

BIPRU 12.1 Application

As Published: 2009

BIPRU 12.1 Application

MAR 1.1 Application and interpretation

As Published: 2002

MAR 1.1 Application and interpretation

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

As Published: 2005

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

PERG 8.1 Application and purpose

As Published: 2014

PERG 8.1 Application and purpose

CONC 5.2 Creditworthiness assessment: before agreement [deleted]

As Published: 2015

CONC 5.2 Creditworthiness assessment: before agreement [deleted]

INSPRU 1.5 Internal-contagion risk

As Published: 2006

INSPRU 1.5 Internal-contagion risk

DTR 2.5 Delaying disclosure of inside information

As Published: 2008

DTR 2.5 Delaying disclosure of inside information

DTR 1A.3 FCA may require the publication of information

As Published: 2012

DTR 1A.3 FCA may require the publication of information

SUP 1A.1 Application and purpose

As Published: 2013

SUP 1A.1 Application and purpose

PERG 10.4A The application of requirements which implemented EU directives

As Published: 2006

PERG 10.4A The application of requirements which implemented EU directives

EG 11.5 Other relevant powers

As Published: 2016

EG 11.5 Other relevant powers

FEES App 1 Annex 3 Emergencies [deleted]

As Published: 2019

FEES App 1 Annex 3 Emergencies [deleted]

SYSC 10A.1 Application

As Published: 2017

SYSC 10A.1 Application

RCB 6.2 Policy on decision and warning notices

As Published: 2008

RCB 6.2 Policy on decision and warning notices

SUP 11.8 Changes in the circumstances of existing controllers

As Published: 2004

SUP 11.8 Changes in the circumstances of existing controllers

MAR 5A.4 Trading process requirements

As Published: 2017

MAR 5A.4 Trading process requirements

DEPP 6A.3 Determining the appropriate length of the period of suspension, restriction, condition or disciplinary prohibition

As Published: 2011

DEPP 6A.3 Determining the appropriate length of the period of suspension, restriction, condition or disciplinary prohibition

SUP 3.2 Purpose

As Published: 2001

SUP 3.2 Purpose

EG 20.1 Introduction

As Published: 2016

EG 20.1 Introduction

BIPRU 13.5 CCR standardised method

As Published: 2006

BIPRU 13.5 CCR standardised method

SUP 15.4 Notified persons

As Published: 2006

SUP 15.4 Notified persons

SUP 8.4 Reliance on waivers

As Published: 2001

SUP 8.4 Reliance on waivers

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

COLL 14.2 Registration with the Charity Commission

As Published: 2016

COLL 14.2 Registration with the Charity Commission

COLL 6.10 Senior personnel responsibilities

As Published: 2011

COLL 6.10 Senior personnel responsibilities

DISP 1.9 Complaints record rule

As Published: 2011

DISP 1.9 Complaints record rule

CONC 1.2 Who? What? Where?

As Published: 2014

CONC 1.2 Who? What? Where?

APER 1.1A Application

As Published: 2015

APER 1.1A Application

PERG 10.1 Background

As Published: 2006

PERG 10.1 Background

REC 3.22 Restriction of, or instruction to close out, open positions

As Published: 2011

REC 3.22 Restriction of, or instruction to close out, open positions

BIPRU 7.9 Use of a CAD 1 model

As Published: 2019

BIPRU 7.9 Use of a CAD 1 model

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

As Published: 2015

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS