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

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

APER 1.1A Application

As Published: 2015

APER 1.1A Application

REC 3.26 Proposals to make regulatory provision

As Published: 2007

REC 3.26 Proposals to make regulatory provision

MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

COND 2.5 Suitability

As Published: 2004

COND 2.5 Suitability

REC 3.15 Suspension of services and inability to operate facilities

As Published: 2007

REC 3.15 Suspension of services and inability to operate facilities

SUP 10C.13 Variation of conditional and time-limited approvals

As Published: 2015

SUP 10C.13 Variation of conditional and time-limited approvals

DEPP 4.1 Executive decision maker

As Published: 2007

DEPP 4.1 Executive decision maker

SYSC 18.1 Application and purpose

As Published: 2006

SYSC 18.1 Application and purpose

REC 4.1 Application and purpose

As Published: 2007

REC 4.1 Application and purpose

MAR 7A.1 Application

As Published: 2017

MAR 7A.1 Application

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

RCB 4.2 Enforcement powers and penalties

As Published: 2010

RCB 4.2 Enforcement powers and penalties

SUP 15.6 Inaccurate, false or misleading information

As Published: 2005

SUP 15.6 Inaccurate, false or misleading information

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

As Published: 2008

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

EG 11.1 Restitution orders under sections 382, 383 and 384 of the Act: the FCA's general approach

As Published: 2016

EG 11.1 Restitution orders under sections 382, 383 and 384 of the Act: the FCA's general approach

SUP 11.8 Changes in the circumstances of existing controllers

As Published: 2004

SUP 11.8 Changes in the circumstances of existing controllers

REC 4.7 The section 297 power to revoke recognition

As Published: 2007

REC 4.7 The section 297 power to revoke recognition

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

EG 9.7 Other powers that may be relevant when the FCA is considering whether to exercise its power to make a prohibition order

As Published: 2016

EG 9.7 Other powers that may be relevant when the FCA is considering whether to exercise its power to make a prohibition order