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Effective Period

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

SYSC 4.2 Persons who effectively direct the business

As Published: 2008

SYSC 4.2 Persons who effectively direct the business

SUP 6.1 Application, interpretation and purpose

As Published: 2004

SUP 6.1 Application, interpretation and purpose

SUP 11.3 Requirements on controllers or proposed controllers under the Act

As Published: 2001

SUP 11.3 Requirements on controllers or proposed controllers under the Act

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

SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

REC 4.2A Publication of information by UK RIEs and RAPs

As Published: 2007

REC 4.2A Publication of information by UK RIEs and RAPs

CASS 10.1 Application, purpose and general provisions

As Published: 2012

CASS 10.1 Application, purpose and general provisions

SYSC 19D.3 Remuneration principles

As Published: 2017

SYSC 19D.3 Remuneration principles

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

SYSC 19A.3 Remuneration principles for IFPRU investment firms

As Published: 2011

SYSC 19A.3 Remuneration principles for IFPRU investment firms

FEES 4.2 Obligation to pay periodic fees

As Published: 2006

FEES 4.2 Obligation to pay periodic fees

EG 9.6 Applications for variation or revocation of prohibition orders

As Published: 2015

EG 9.6 Applications for variation or revocation of prohibition orders

FEES 3.1 Introduction

As Published: 2005

FEES 3.1 Introduction

SYSC 3.2 Areas covered by systems and controls

As Published: 2002

SYSC 3.2 Areas covered by systems and controls

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

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

LR 4.3 Approval and publication of listing particulars

As Published: 2016

LR 4.3 Approval and publication of listing particulars

SUP 21.1 Form of waiver for energy market participants

As Published: 2003

SUP 21.1 Form of waiver for energy market participants

LR 2.1 Preliminary

As Published: 2005

LR 2.1 Preliminary

CASS 7.10 Application and purpose

As Published: 2014

CASS 7.10 Application and purpose