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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 5.3 The basis of settlement discussions

As Published: 2016

EG 5.3 The basis of settlement discussions

…

MAR 7A.3 Requirements for algorithmic trading

As Published: 2017

MAR 7A.3 Requirements for algorithmic trading

…

REC 2.9 Transaction recording

As Published: 2004

REC 2.9 Transaction recording

…

CASS 6.4 Use of safe custody assets

As Published: 2007

CASS 6.4 Use of safe custody assets

…

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

As Published: 2012

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

…

ICOBS 5.3 Advised sales

As Published: 2012

ICOBS 5.3 Advised sales

…

PERG 10.2 General issues

As Published: 2006

PERG 10.2 General issues

…

PERG 15.5 Negative scope/exclusions

As Published: 2015

PERG 15.5 Negative scope/exclusions

…

SUP 16.13 Reporting under the Payment Services Regulations

As Published: 2010

SUP 16.13 Reporting under the Payment Services Regulations

…

FEES 6.5 Compensation costs

As Published: 2006

FEES 6.5 Compensation costs

…

PERG 6.2 Purpose of guidance

As Published: 2005

PERG 6.2 Purpose of guidance

…

RCB 4.1 Application and purpose

As Published: 2008

RCB 4.1 Application and purpose

…

SUP 15.9 Notifications by members of financial conglomerates

As Published: 2004

SUP 15.9 Notifications by members of financial conglomerates

…

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

As Published: 2017

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

…

PERG 5.10 Renewals

As Published: 2005

PERG 5.10 Renewals

…

RCB 4.2 Enforcement powers and penalties

As Published: 2010

RCB 4.2 Enforcement powers and penalties

…

RCB 6.2 Policy on decision and warning notices

As Published: 2008

RCB 6.2 Policy on decision and warning notices

…

APER 1.1A Application

As Published: 2015

APER 1.1A Application

…

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

…

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