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

PERG 16.4 Acting as a depositary of an AIF

As Published: 2019

PERG 16.4 Acting as a depositary of an AIF

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FEES 12.1 Application and Purpose

As Published: 2015

FEES 12.1 Application and Purpose

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EG 15.4 Disqualification under section 249 or section 261K

As Published: 2016

EG 15.4 Disqualification under section 249 or section 261K

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EG 13.1 Introduction

As Published: 2016

EG 13.1 Introduction

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LR 1.6 Listing Categories

As Published: 2010

LR 1.6 Listing Categories

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EG 2.13 Late reporting or non-submission of reports to the FCA

As Published: 2016

EG 2.13 Late reporting or non-submission of reports to the FCA

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TC 1.1 Who, what and where?

As Published: 2002

TC 1.1 Who, what and where?

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COLL 7.5 Schemes or sub-funds that are not commercially viable

As Published: 2013

COLL 7.5 Schemes or sub-funds that are not commercially viable

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TC App 4.1 Appropriate Qualification tables

As Published: 2010

TC App 4.1 Appropriate Qualification tables

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COBS 6.4 Disclosure of charges, remuneration and commission

As Published: 2007

COBS 6.4 Disclosure of charges, remuneration and commission

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EG 7.2 Alternatives to sanctions

As Published: 2015

EG 7.2 Alternatives to sanctions

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REC 2.7A Position management and position reporting in relation to commodity derivatives

As Published: 2017

REC 2.7A Position management and position reporting in relation to commodity derivatives

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DISP 1.6 Complaints time limit rules

As Published: 2008

DISP 1.6 Complaints time limit rules

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CONC 3.10 Financial promotions not in writing

As Published: 2014

CONC 3.10 Financial promotions not in writing

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COBS 4.7 Direct offer financial promotions

As Published: 2007

COBS 4.7 Direct offer financial promotions

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EG 18.1 Cancellation on the FCA’s own-initiative

As Published: 2016

EG 18.1 Cancellation on the FCA’s own-initiative

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DEPP 7.1 Application and purpose

As Published: 2007

DEPP 7.1 Application and purpose

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LR 4.3 Approval and publication of listing particulars

As Published: 2016

LR 4.3 Approval and publication of listing particulars

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EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279, 281 and 282B of the Act – powers to revoke recognition of schemes recognised under section 272 or issue the operators of such schemes with a public censure: the FCA’s policy

As Published: 2016

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279, 281 and 282B of the Act – powers to revoke recognition of schemes recognised under section 272 or issue the operators of such schemes with a public censure: the FCA’s policy

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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

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