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

MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

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SYSC 19A.1 General application and purpose

As Published: 2010

SYSC 19A.1 General application and purpose

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EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

As Published: 2016

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

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SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

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SYSC 6.1 Compliance

As Published: 2006

SYSC 6.1 Compliance

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FIT 1.3 Assessing fitness and propriety

As Published: 2015

FIT 1.3 Assessing fitness and propriety

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SUP 4.3 Appointment of actuaries

As Published: 2004

SUP 4.3 Appointment of actuaries

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SUP App 3.2 Purpose

As Published: 2004

SUP App 3.2 Purpose

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SYSC 6.3 Financial crime

As Published: 2008

SYSC 6.3 Financial crime

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COND 1.3 General

As Published: 2013

COND 1.3 General

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SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

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LR 14.3 Continuing obligations

As Published: 2006

LR 14.3 Continuing obligations

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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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COBS 19.5 Independent governance committees (IGCs) and publication and disclosure of costs and charges

As Published: 2015

COBS 19.5 Independent governance committees (IGCs) and publication and disclosure of costs and charges

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REC 3.14 Products, services and normal hours of operation

As Published: 2007

REC 3.14 Products, services and normal hours of operation

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REC 3.8 Financial and other information

As Published: 2013

REC 3.8 Financial and other information

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COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

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REC 3.14A Operation of a trading venue

As Published: 2007

REC 3.14A Operation of a trading venue

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EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

As Published: 2016

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

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CONC 1.1 Application and purpose

As Published: 2014

CONC 1.1 Application and purpose

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