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

SUP 3.5 Auditors' independence

As Published: 2008

SUP 3.5 Auditors' independence

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DISP App 3.4 Root cause analysis

As Published: 2017

DISP App 3.4 Root cause analysis

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MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

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MAR 5A.8 Reporting requirements

As Published: 2017

MAR 5A.8 Reporting requirements

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LR 15.3 Listing applications and procedures

As Published: 2010

LR 15.3 Listing applications and procedures

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EG 4.1 Notifying the person under investigation where notice is a requirement under section 170

As Published: 2016

EG 4.1 Notifying the person under investigation where notice is a requirement under section 170

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COBS 7.1 Application

As Published: 2007

COBS 7.1 Application

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REC 3.10 Complaints

As Published: 2013

REC 3.10 Complaints

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FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

As Published: 2012

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

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EG 3.5 Official listing investigations (section 97)

As Published: 2016

EG 3.5 Official listing investigations (section 97)

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MAR 6.2 Purpose

As Published: 2017

MAR 6.2 Purpose

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EG 2.7 Sources of cases

As Published: 2016

EG 2.7 Sources of cases

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CASS 12.1 Application

As Published: 2014

CASS 12.1 Application

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COBS 16.5 Quotations for surrender values

As Published: 2007

COBS 16.5 Quotations for surrender values

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EG 20.5 Prosecution of criminal offences under the Consumer Credit Act 1974

As Published: 2016

EG 20.5 Prosecution of criminal offences under the Consumer Credit Act 1974

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SUP 10A.2 Purpose

As Published: 2018

SUP 10A.2 Purpose

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LR 6.6 Control of the business

As Published: 2017

LR 6.6 Control of the business

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LR 16.4 [deleted]

As Published: 2007

LR 16.4 [deleted]

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EG 15.5 Removal of a disqualification

As Published: 2016

EG 15.5 Removal of a disqualification

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EG 2.13 Late reporting or non-submission of reports to the FCA

As Published: 2016

EG 2.13 Late reporting or non-submission of reports to the FCA

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