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Section Provision

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

EG 19.33 The Small and Medium Sized Business (Finance Platforms) Regulations 2015

As Published: 2016

EG 19.33 The Small and Medium Sized Business (Finance Platforms) Regulations 2015

…

SUP 2.4 'Mystery shopping'

As Published: 2005

SUP 2.4 'Mystery shopping'

…

PERG 14.5 The ‘by-way-of-business’ test

As Published: 2010

PERG 14.5 The ‘by-way-of-business’ test

…

REC 6.2 Applications

As Published: 2007

REC 6.2 Applications

…

REC 2A.4 Power and procedure for RAP penalties and censures

As Published: 2012

REC 2A.4 Power and procedure for RAP penalties and censures

…

SUP 3.1 Application

As Published: 2001

SUP 3.1 Application

…

EG 19.15 The conduct of investigations under the Money Laundering Regulations

As Published: 2016

EG 19.15 The conduct of investigations under the Money Laundering Regulations

…

REC 4.6A The section 192C power to direct qualifying parent undertakings

As Published: 2013

REC 4.6A The section 192C power to direct qualifying parent undertakings

…

CONC App 1.1 Total charge for credit rules for certain agreements secured on land

As Published: 2013

CONC App 1.1 Total charge for credit rules for certain agreements secured on land

…

IPRU-INV 13.14 CALCULATION OF ANNUAL INCOME FOR A PERSONAL INVESTMENT FIRM

As Published: 2015

IPRU-INV 13.14 CALCULATION OF ANNUAL INCOME FOR A PERSONAL INVESTMENT FIRM

…

REC 2.2 Method of satisfying the recognition requirements

As Published: 2004

REC 2.2 Method of satisfying the recognition requirements

…

PERG 13.5A Child trust funds and MiFID

As Published: 2008

PERG 13.5A Child trust funds and MiFID

…

MIPRU 3.2 Professional indemnity insurance requirements

As Published: 2006

MIPRU 3.2 Professional indemnity insurance requirements

…

REC 2.7 Access to facilities

As Published: 2004

REC 2.7 Access to facilities

…

REC 2.16 Complaints

As Published: 2004

REC 2.16 Complaints

…

PERG 16.8 Territorial scope

As Published: 2019

PERG 16.8 Territorial scope

…

COBS 16.3 Periodic reporting

As Published: 2009

COBS 16.3 Periodic reporting

…

COBS 11.7 Personal account dealing

As Published: 2007

COBS 11.7 Personal account dealing

…

MAR 5A.4 Trading process requirements

As Published: 2017

MAR 5A.4 Trading process requirements

…

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

As Published: 2007

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

…

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