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Effective Period

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

SYSC 4.2 Persons who effectively direct the business

As Published: 2008

SYSC 4.2 Persons who effectively direct the business

SUP 8.9 Decision making

As Published: 2004

SUP 8.9 Decision making

REC 3.25 Significant breaches of rules and disorderly trading conditions

As Published: 2007

REC 3.25 Significant breaches of rules and disorderly trading conditions

REC 4.2E Information: compliance of UK recognised bodies with specified requirements

As Published: 2007

REC 4.2E Information: compliance of UK recognised bodies with specified requirements

REC 3.21 Criminal offences and civil prohibitions

As Published: 2013

REC 3.21 Criminal offences and civil prohibitions

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

PERG 8.4 Invitation or inducement

As Published: 2005

PERG 8.4 Invitation or inducement

COCON 3.1 General factors for assessing compliance

As Published: 2016

COCON 3.1 General factors for assessing compliance

SYSC 19C.1 General application and purpose

As Published: 2014

SYSC 19C.1 General application and purpose

EG 2.6 Assisting overseas regulators

As Published: 2016

EG 2.6 Assisting overseas regulators

CONC 3.1 Application

As Published: 2014

CONC 3.1 Application

REC 6.6 Supervision

As Published: 2013

REC 6.6 Supervision

LR 8.6 Criteria for approval as a sponsor

As Published: 2005

LR 8.6 Criteria for approval as a sponsor

COLL 6.6B UCITS depositaries

As Published: 2016

COLL 6.6B UCITS depositaries

SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order

As Published: 2004

SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order

PERG 5.1 Application and purpose

As Published: 2018

PERG 5.1 Application and purpose

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

As Published: 2015

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

EG 4.11 Approach to interviews and interview procedures

As Published: 2016

EG 4.11 Approach to interviews and interview procedures

DISP 1.10A Complaints data publication rules

As Published: 2010

DISP 1.10A Complaints data publication rules

SUP 16.4 Annual controllers report

As Published: 2001

SUP 16.4 Annual controllers report