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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 12.3 Criminal prosecutions in cases of market abuse

As Published: 2016

EG 12.3 Criminal prosecutions in cases of market abuse

EG 19.7 The Open-Ended Investment Companies Regulations 2001

As Published: 2016

EG 19.7 The Open-Ended Investment Companies Regulations 2001

SUP 16.10 Verification of firm details

As Published: 2004

SUP 16.10 Verification of firm details

MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

As Published: 2007

MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

REC 3.2 Form and method of notification

As Published: 2013

REC 3.2 Form and method of notification

DEPP 6.6 Financial penalties for late and incomplete submission of reports

As Published: 2010

DEPP 6.6 Financial penalties for late and incomplete submission of reports

IPRU-INV 11.2 MAIN REQUIREMENTS

As Published: 2019

IPRU-INV 11.2 MAIN REQUIREMENTS

COBS 18.2 Energy market activity and oil market activity

As Published: 2007

COBS 18.2 Energy market activity and oil market activity

COBS 9.4 Suitability reports

As Published: 2007

COBS 9.4 Suitability reports

COBS 16.3 Periodic reporting

As Published: 2009

COBS 16.3 Periodic reporting

DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments

As Published: 2009

DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments

BIPRU 11.2 Basis of disclosures

As Published: 2013

BIPRU 11.2 Basis of disclosures

LR 13.6 Related party circulars

As Published: 2007

LR 13.6 Related party circulars

LR 7.1 Application and purpose

As Published: 2005

LR 7.1 Application and purpose

COBS 2.1 Acting honestly, fairly and professionally

As Published: 2007

COBS 2.1 Acting honestly, fairly and professionally

CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators

As Published: 2018

CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators

PERG 12.6 Advising on conversion or transfer of pension benefits

As Published: 2015

PERG 12.6 Advising on conversion or transfer of pension benefits

COBS 4.2 Fair, clear and not misleading communications

As Published: 2007

COBS 4.2 Fair, clear and not misleading communications

IPRU-INV 4.2 PURPOSE

As Published: 2015

IPRU-INV 4.2 PURPOSE

COBS 18.11 Authorised professional firms

As Published: 2007

COBS 18.11 Authorised professional firms