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

EG 6.1 Publicity during FCA investigations

As Published: 2016

EG 6.1 Publicity during FCA investigations

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

LR 1.4 Miscellaneous

As Published: 2005

LR 1.4 Miscellaneous

DISP 1.5 Complaints resolved by close of the third business day

As Published: 2002

DISP 1.5 Complaints resolved by close of the third business day

REC 3.2 Form and method of notification

As Published: 2013

REC 3.2 Form and method of notification

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

As Published: 2012

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

PERG 16.6 Exclusions

As Published: 2019

PERG 16.6 Exclusions

REC 3.14A Operation of a trading venue

As Published: 2007

REC 3.14A Operation of a trading venue

DTR 2.5 Delaying disclosure of inside information

As Published: 2008

DTR 2.5 Delaying disclosure of inside information

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

As Published: 2007

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers

As Published: 2016

EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers

BIPRU 2.3 Interest rate risk in the non-trading book

As Published: 2006

BIPRU 2.3 Interest rate risk in the non-trading book

SYSC 22.7 Getting references: additional rules and guidance for SMCR firms

As Published: 2016

SYSC 22.7 Getting references: additional rules and guidance for SMCR firms

REC 2.16 Complaints

As Published: 2004

REC 2.16 Complaints

MCOB 9.5 Disclosure at the offer stage for equity release transactions

As Published: 2004

MCOB 9.5 Disclosure at the offer stage for equity release transactions

MIPRU 4.2D Liquidity resources requirements

As Published: 2013

MIPRU 4.2D Liquidity resources requirements

LR 3.3 Shares

As Published: 2007

LR 3.3 Shares

IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A PERSONAL INVESTMENT FIRM

As Published: 2015

IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A PERSONAL INVESTMENT FIRM

IPRU-INV 11.1 INTRODUCTION

As Published: 2019

IPRU-INV 11.1 INTRODUCTION

LR 13.8 Other circulars

As Published: 2007

LR 13.8 Other circulars