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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).

SYSC 9.1 General rules on record-keeping

As Published: 2007

SYSC 9.1 General rules on record-keeping

…

SUP 10A.9 Significant management functions [deleted]

As Published: 2014

SUP 10A.9 Significant management functions [deleted]

…

SYSC 5.1 Skills, knowledge and expertise

As Published: 2006

SYSC 5.1 Skills, knowledge and expertise

…

DTR 8.5 Supervision of primary information providers

As Published: 2014

DTR 8.5 Supervision of primary information providers

…

SUP 15.8 Notification in respect of particular products and services

As Published: 2001

SUP 15.8 Notification in respect of particular products and services

…

SYSC 19A.1 General application and purpose

As Published: 2010

SYSC 19A.1 General application and purpose

…

COLL 8.4 Investment and borrowing powers

As Published: 2006

COLL 8.4 Investment and borrowing powers

…

LR 5.4A Transfer between listing categories

As Published: 2009

LR 5.4A Transfer between listing categories

…

SUP 11.2 Purpose

As Published: 2004

SUP 11.2 Purpose

…

SUP 8.1 Application and purpose

As Published: 2003

SUP 8.1 Application and purpose

…

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

As Published: 2013

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

…

LR 11.1 Related party transactions

As Published: 2005

LR 11.1 Related party transactions

…

SUP 16.1 Application

As Published: 2001

SUP 16.1 Application

…

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

As Published: 2006

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

…

GENPRU 3.2 Third-country groups

As Published: 2007

GENPRU 3.2 Third-country groups

…

REC 2.9 Transaction recording

As Published: 2004

REC 2.9 Transaction recording

…

COLL 6.6B UCITS depositaries

As Published: 2016

COLL 6.6B UCITS depositaries

…

SUP 3.8 Rights and duties of auditors

As Published: 2004

SUP 3.8 Rights and duties of auditors

…

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

…

LR 8.6 Criteria for approval as a sponsor

As Published: 2005

LR 8.6 Criteria for approval as a sponsor

…

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