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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 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

EG 10.1 Introduction

As Published: 2016

EG 10.1 Introduction

REC 4.2 The supervisory relationship with UK recognised bodies

As Published: 2007

REC 4.2 The supervisory relationship with UK recognised bodies

EG 7.5 Payment of financial penalties

As Published: 2016

EG 7.5 Payment of financial penalties

CONC 10.2 Prudential resources requirements

As Published: 2014

CONC 10.2 Prudential resources requirements

MIPRU 4.1 Application and purpose

As Published: 2006

MIPRU 4.1 Application and purpose

EG 19.7 The Open-Ended Investment Companies Regulations 2001

As Published: 2016

EG 19.7 The Open-Ended Investment Companies Regulations 2001

SYSC 10A.1 Application

As Published: 2017

SYSC 10A.1 Application

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose

INSPRU 7.1 Application

As Published: 2006

INSPRU 7.1 Application

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

MAR 5A.4 Trading process requirements

As Published: 2017

MAR 5A.4 Trading process requirements

SUP 15.9 Notifications by members of financial conglomerates

As Published: 2004

SUP 15.9 Notifications by members of financial conglomerates

EG 3.4 Investigations into general and specific concerns (sections 167 and 168)

As Published: 2016

EG 3.4 Investigations into general and specific concerns (sections 167 and 168)

RCB 4.2 Enforcement powers and penalties

As Published: 2010

RCB 4.2 Enforcement powers and penalties

DTR 1C.2 Modifying rules and consulting the FCA

As Published: 2018

DTR 1C.2 Modifying rules and consulting the FCA

REC 4.4 Complaints

As Published: 2011

REC 4.4 Complaints

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 271L, 271N, 271R, 279, 281 and 282B of the Act – powers to revoke recognition of schemes recognised under sections 271A or 272, or issue the operators of such schemes with a public censure: the FCA’s policy

As Published: 2016

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 271L, 271N, 271R, 279, 281 and 282B of the Act – powers to revoke recognition of schemes recognised under sections 271A or 272, or issue the operators of such schemes with a public censure: the FCA’s policy