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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 5.4 Appointment and reporting process

As Published: 2016

SUP 5.4 Appointment and reporting process

LR 9.2 Requirements with continuing application

As Published: 2006

LR 9.2 Requirements with continuing application

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

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

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 5.7 The relevance of settled cases to subsequent action

As Published: 2016

EG 5.7 The relevance of settled cases to subsequent action

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

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

EG 4.13 Preliminary findings letters and preliminary investigation reports

As Published: 2016

EG 4.13 Preliminary findings letters and preliminary investigation reports

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

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

REC 2.14 Rules and consultation

As Published: 2004

REC 2.14 Rules and consultation

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

DEPP 6.1 Introduction

As Published: 2007

DEPP 6.1 Introduction