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

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

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EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

As Published: 2016

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

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RCB 2.3 Determination of registration

As Published: 2011

RCB 2.3 Determination of registration

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MAR 10.1 Application

As Published: 2017

MAR 10.1 Application

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SUP 9.1 Application and purpose

As Published: 2001

SUP 9.1 Application and purpose

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EG 2.15 Decision making in the context of regulatory enforcement action

As Published: 2016

EG 2.15 Decision making in the context of regulatory enforcement action

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EG 2.5 Cases where other authorities have an interest

As Published: 2016

EG 2.5 Cases where other authorities have an interest

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PERG 6.5 General principles

As Published: 2005

PERG 6.5 General principles

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REC 3.19 Investigations

As Published: 2011

REC 3.19 Investigations

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EG 19.8 Electronic Commerce Directive (Financial Services and Markets) Regulations 2002 [deleted]

As Published: 2016

EG 19.8 Electronic Commerce Directive (Financial Services and Markets) Regulations 2002 [deleted]

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COCON 4.1 Specific guidance on individual conduct rules

As Published: 2015

COCON 4.1 Specific guidance on individual conduct rules

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EG 16.1 The FCA’s general approach to making disapplication orders

As Published: 2016

EG 16.1 The FCA’s general approach to making disapplication orders

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SYSC 4.9

As Published: 2015

SYSC 4.9

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EG 10.1 Introduction

As Published: 2016

EG 10.1 Introduction

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COLL 7.2 Suspension and restart of dealings

As Published: 2008

COLL 7.2 Suspension and restart of dealings

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MAR 5.6 Reporting requirements

As Published: 2007

MAR 5.6 Reporting requirements

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DISP 1.3 Complaints handling rules

As Published: 2003

DISP 1.3 Complaints handling rules

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REC 4.2 The supervisory relationship with UK recognised bodies

As Published: 2007

REC 4.2 The supervisory relationship with UK recognised bodies

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REC 2.7 Access to facilities

As Published: 2004

REC 2.7 Access to facilities

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EG 7.5 Payment of financial penalties

As Published: 2016

EG 7.5 Payment of financial penalties

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