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Section Provision

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

SUP 10A.7 FCA required functions

As Published: 2013

SUP 10A.7 FCA required functions

…

TC 2.1 Assessing and maintaining competence

As Published: 2002

TC 2.1 Assessing and maintaining competence

…

CREDS App 1.1 Key Definitions

As Published: 2011

CREDS App 1.1 Key Definitions

…

LR App 1.1 Relevant definitions

As Published: 2005

LR App 1.1 Relevant definitions

…

REC 6.3 Recognition requirements

As Published: 2004

REC 6.3 Recognition requirements

…

PERG 7.3 Does the activity require authorisation?

As Published: 2006

PERG 7.3 Does the activity require authorisation?

…

GENPRU 2.1 Calculation of capital resources requirements

As Published: 2006

GENPRU 2.1 Calculation of capital resources requirements

…

EG 7.6 Private warnings

As Published: 2015

EG 7.6 Private warnings

…

LR 3.3 Shares

As Published: 2007

LR 3.3 Shares

…

MAR 1.2 Market Abuse: general

As Published: 2002

MAR 1.2 Market Abuse: general

…

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

As Published: 2012

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

…

LR 5.2 Cancelling listing

As Published: 2007

LR 5.2 Cancelling listing

…

DEPP 8.2 Use of the own-initiative variation of approval power: general

As Published: 2015

DEPP 8.2 Use of the own-initiative variation of approval power: general

…

SUP 9.2 Making a request for individual guidance

As Published: 2005

SUP 9.2 Making a request for individual guidance

…

LR 8.2 When a sponsor must be appointed or its guidance obtained

As Published: 2007

LR 8.2 When a sponsor must be appointed or its guidance obtained

…

SUP 16.7A Annual report and accounts

As Published: 2014

SUP 16.7A Annual report and accounts

…

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

…

SUP 11.5 Notifications by firms

As Published: 2004

SUP 11.5 Notifications by firms

…

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

As Published: 2010

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

…

COLL 6.6A Duties of AFMs in relation to UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes

…

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