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

CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

LR 9.2 Requirements with continuing application

As Published: 2006

LR 9.2 Requirements with continuing application

SUP 5.4 Appointment and reporting process

As Published: 2016

SUP 5.4 Appointment and reporting process

EG 3.2B Information requests (section 122B)

As Published: 2016

EG 3.2B Information requests (section 122B)

SUP 10C.14 Changes to an FCA-approved person’s details

As Published: 2015

SUP 10C.14 Changes to an FCA-approved person’s details

EG 5.7 The relevance of settled cases to subsequent action

As Published: 2016

EG 5.7 The relevance of settled cases to subsequent action

EG 4.13 Preliminary findings letters and preliminary investigation reports

As Published: 2016

EG 4.13 Preliminary findings letters and preliminary investigation reports

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

REC 4.2A Publication of information by UK RIEs and RAPs

As Published: 2007

REC 4.2A Publication of information by UK RIEs and RAPs

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

As Published: 2016

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

REC 3.26 Proposals to make regulatory provision

As Published: 2007

REC 3.26 Proposals to make regulatory provision

SUP 6.4 Applications for cancellation of permission

As Published: 2004

SUP 6.4 Applications for cancellation of permission

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

LR 5.6 Reverse takeovers

As Published: 2012

LR 5.6 Reverse takeovers

REC 3.15 Suspension of services and inability to operate facilities

As Published: 2007

REC 3.15 Suspension of services and inability to operate facilities

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

As Published: 2015

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative

As Published: 2007

SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative

REC 4.2C Control over a UK RIE

As Published: 2007

REC 4.2C Control over a UK RIE

DEPP 6.1 Introduction

As Published: 2007

DEPP 6.1 Introduction

REC 2.14 Rules and consultation

As Published: 2004

REC 2.14 Rules and consultation