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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 9.4 Collective investment scheme (section 235 of the Act)

As Published: 2011

PERG 9.4 Collective investment scheme (section 235 of the Act)

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

As Published: 2010

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

LR 1.4 Miscellaneous

As Published: 2005

LR 1.4 Miscellaneous

COBS 4.11 Record keeping: financial promotion

As Published: 2007

COBS 4.11 Record keeping: financial promotion

ICOBS 2.3 Inducements

As Published: 2018

ICOBS 2.3 Inducements

EG 2.11 Senior management responsibility

As Published: 2015

EG 2.11 Senior management responsibility

SYSC 13.4 Requirements to notify the appropriate regulator

As Published: 2016

SYSC 13.4 Requirements to notify the appropriate regulator

PERG 16.2 What types of funds and businesses are caught?

As Published: 2013

PERG 16.2 What types of funds and businesses are caught?

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

As Published: 2004

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

SUP 2.4 'Mystery shopping'

As Published: 2005

SUP 2.4 'Mystery shopping'

GEN 6.1 Payment of financial penalties

As Published: 2003

GEN 6.1 Payment of financial penalties

CREDS 9.1 Application and purpose

As Published: 2011

CREDS 9.1 Application and purpose

FEES 3.1 Introduction

As Published: 2005

FEES 3.1 Introduction

COBS 3.7 Providing clients with a higher level of protection

As Published: 2017

COBS 3.7 Providing clients with a higher level of protection

CONC 1.2 Who? What? Where?

As Published: 2014

CONC 1.2 Who? What? Where?

APER 3.1 Introduction

As Published: 2005

APER 3.1 Introduction

MAR 10.5 Other reporting, notifications and information requirements

As Published: 2017

MAR 10.5 Other reporting, notifications and information requirements

EG 3.2B Information requests (section 122B)

As Published: 2016

EG 3.2B Information requests (section 122B)

EG 3.2 Information requests (section 165)

As Published: 2016

EG 3.2 Information requests (section 165)

DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?

As Published: 2008

DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?