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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 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

PERG 13.3 Investment Services and Activities

As Published: 2012

PERG 13.3 Investment Services and Activities

PERG 8.8 Having an effect in the United Kingdom

As Published: 2005

PERG 8.8 Having an effect in the United Kingdom

PERG 13.4 Financial instruments

As Published: 2007

PERG 13.4 Financial instruments

EG 7.5 Payment of financial penalties

As Published: 2016

EG 7.5 Payment of financial penalties

CASS 5.8 Safe keeping of client's documents and other assets

As Published: 2010

CASS 5.8 Safe keeping of client's documents and other assets

LR 19.2 Requirements for listing

As Published: 2005

LR 19.2 Requirements for listing

EG 11.5 Other relevant powers

As Published: 2016

EG 11.5 Other relevant powers

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

As Published: 2006

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

CONC 10.1 Application and purpose

As Published: 2014

CONC 10.1 Application and purpose

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

As Published: 2016

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

As Published: 2007

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

REC 2.14 Rules and consultation

As Published: 2004

REC 2.14 Rules and consultation

APER 2.1A The Statements of Principle

As Published: 2015

APER 2.1A The Statements of Principle

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

As Published: 2016

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

REC 3.21 Criminal offences and civil prohibitions

As Published: 2013

REC 3.21 Criminal offences and civil prohibitions

PERG 8.17A Financial promotions concerning insurance distribution activities

As Published: 2018

PERG 8.17A Financial promotions concerning insurance distribution activities

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

As Published: 2007

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

LR 9.2 Requirements with continuing application

As Published: 2006

LR 9.2 Requirements with continuing application