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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 11.2 Criteria for determining whether to exercise powers to obtain restitution

As Published: 2016

EG 11.2 Criteria for determining whether to exercise powers to obtain restitution

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SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

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REC 4.5 FCA supervision of action by UK RIEs under their default rules

As Published: 2013

REC 4.5 FCA supervision of action by UK RIEs under their default rules

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COLL 5.1 Introduction

As Published: 2010

COLL 5.1 Introduction

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CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

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FEES 3.2 Obligation to pay fees

As Published: 2006

FEES 3.2 Obligation to pay fees

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LR 11.1 Related party transactions

As Published: 2005

LR 11.1 Related party transactions

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SYSC 14.1 Application

As Published: 2006

SYSC 14.1 Application

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MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

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DTR 4.2 Half-yearly financial reports

As Published: 2015

DTR 4.2 Half-yearly financial reports

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LR 2.2 Requirements for all securities

As Published: 2007

LR 2.2 Requirements for all securities

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LR 9.5 Transactions

As Published: 2007

LR 9.5 Transactions

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SYSC 5.1 Skills, knowledge and expertise

As Published: 2006

SYSC 5.1 Skills, knowledge and expertise

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LR 17.3 Requirements with continuing application

As Published: 2006

LR 17.3 Requirements with continuing application

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PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

As Published: 2005

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

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RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

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BIPRU 8.5 Basis of consolidation

As Published: 2010

BIPRU 8.5 Basis of consolidation

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APER 4.7 Statement of Principle 7

As Published: 2006

APER 4.7 Statement of Principle 7

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COCON 1.2 Investments

As Published: 2015

COCON 1.2 Investments

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CASS 7.12 Organisational requirements: client money

As Published: 2017

CASS 7.12 Organisational requirements: client money

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