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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).

COND 2.3 Effective supervision

As Published: 2004

COND 2.3 Effective supervision

DTR 4.4 Exemptions

As Published: 2010

DTR 4.4 Exemptions

SUP 10C.14 Changes to an FCA-approved person’s details

As Published: 2015

SUP 10C.14 Changes to an FCA-approved person’s details

GEN 2.2 Interpreting the Handbook

As Published: 2004

GEN 2.2 Interpreting the Handbook

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

As Published: 2006

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

LR 3.5 Block listing

As Published: 2007

LR 3.5 Block listing

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

As Published: 2007

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

SYSC 2.1 Apportionment of Responsibilities

As Published: 2002

SYSC 2.1 Apportionment of Responsibilities

MCOB 5.6 Content of illustrations

As Published: 2004

MCOB 5.6 Content of illustrations

REC 3.14A Operation of a trading venue

As Published: 2007

REC 3.14A Operation of a trading venue

LR 1.2 Modifying rules and consulting the FCA

As Published: 2010

LR 1.2 Modifying rules and consulting the FCA

DTR 6.4 Disclosure of Home State

As Published: 2015

DTR 6.4 Disclosure of Home State

LR 18.4 Continuing obligations

As Published: 2006

LR 18.4 Continuing obligations

LR 18.2 Requirements for listing

As Published: 2007

LR 18.2 Requirements for listing

COLL 12.2 UK UCITS management companies

As Published: 2016

COLL 12.2 UK UCITS management companies

SUP 15.2 Purpose

As Published: 2005

SUP 15.2 Purpose

SYSC 4.5

As Published: 2015

SYSC 4.5

BIPRU 12.8 Cross-border and intra-group management of liquidity

As Published: 2010

BIPRU 12.8 Cross-border and intra-group management of liquidity

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

DTR 8.4 Continuing obligations

As Published: 2014

DTR 8.4 Continuing obligations

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

As Published: 2010

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

COCON 1.2 Investments

As Published: 2015

COCON 1.2 Investments

COLL 8.4 Investment and borrowing powers

As Published: 2006

COLL 8.4 Investment and borrowing powers

RCB 3.5 Other notifications

As Published: 2011

RCB 3.5 Other notifications

REC 1.1 Application

As Published: 2005

REC 1.1 Application

MAR 9.5 Frequently Asked Questions

As Published: 2017

MAR 9.5 Frequently Asked Questions

LR 5.4 Restoring listing

As Published: 2010

LR 5.4 Restoring listing

DTR 5.8 Procedures for the notification and disclosure of major holdings

As Published: 2007

DTR 5.8 Procedures for the notification and disclosure of major holdings

CASS 6.1 Application

As Published: 2007

CASS 6.1 Application

SYSC 8.1 General outsourcing requirements

As Published: 2006

SYSC 8.1 General outsourcing requirements

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

SUP 16.4 Annual controllers report

As Published: 2001

SUP 16.4 Annual controllers report

REC 3.8 Financial and other information

As Published: 2013

REC 3.8 Financial and other information

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

As Published: 2011

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

LR 6.10 Specialist companies: mineral companies

As Published: 2017

LR 6.10 Specialist companies: mineral companies

LR 13.2 Approval of circulars

As Published: 2010

LR 13.2 Approval of circulars

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

LR 7.1 Application and purpose

As Published: 2005

LR 7.1 Application and purpose

CASS 6.6 Records, accounts and reconciliations

As Published: 2014

CASS 6.6 Records, accounts and reconciliations