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

REC 5.2 Application process

As Published: 2007

REC 5.2 Application process

LR 6.11 Specialist companies: scientific research based companies

As Published: 2017

LR 6.11 Specialist companies: scientific research based companies

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

DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments

As Published: 2009

DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments

PR 5.1 Validity of prospectus

As Published: 2005

PR 5.1 Validity of prospectus

PERG 9.7 The investment condition: the 'reasonable investor'

As Published: 2005

PERG 9.7 The investment condition: the 'reasonable investor'

SUP 11.5 Notifications by firms

As Published: 2004

SUP 11.5 Notifications by firms

COBS 4.13 UCITS

As Published: 2011

COBS 4.13 UCITS

LR 20.1 Application

As Published: 2010

LR 20.1 Application

SUP 10C.16 References and accurate information

As Published: 2016

SUP 10C.16 References and accurate information

DISP 1.10B Payment services and electronic money complaints reporting

As Published: 2018

DISP 1.10B Payment services and electronic money complaints reporting

SUP 10C.11 Statements of responsibilities

As Published: 2015

SUP 10C.11 Statements of responsibilities

REC 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts

DISP 1.11 The Society of Lloyd's

As Published: 2010

DISP 1.11 The Society of Lloyd's

REC 3.5 Disciplinary action and events relating to members of the management body

As Published: 2013

REC 3.5 Disciplinary action and events relating to members of the management body

SYSC 13.4 Requirements to notify the appropriate regulator

As Published: 2016

SYSC 13.4 Requirements to notify the appropriate regulator

SUP 15.10 Reporting suspicious transactions or orders (market abuse)

As Published: 2005

SUP 15.10 Reporting suspicious transactions or orders (market abuse)

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

SUP 8.5 Notification of altered circumstances relating to waivers

As Published: 2001

SUP 8.5 Notification of altered circumstances relating to waivers

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?