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

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

DEPP 2.3 Decision notices and second supervisory notices

As Published: 2013

DEPP 2.3 Decision notices and second supervisory notices

MCOB 4.8A Execution-only sales

As Published: 2012

MCOB 4.8A Execution-only sales

MCOB 9.1 Application

As Published: 2005

MCOB 9.1 Application

REC 2.12 Availability of relevant information and admission of financial instruments to trading

As Published: 2004

REC 2.12 Availability of relevant information and admission of financial instruments to trading

MCOB 5.5 Provision of illustrations

As Published: 2012

MCOB 5.5 Provision of illustrations

DTR 4.1 Annual financial report

As Published: 2006

DTR 4.1 Annual financial report

MCOB 5A.4 Provision of a European Standardised Information Sheet (ESIS)

As Published: 2015

MCOB 5A.4 Provision of a European Standardised Information Sheet (ESIS)

EG 10.5 Section 198: the FCA’s policy [deleted]

As Published: 2016

EG 10.5 Section 198: the FCA’s policy [deleted]

MCOB 8.5A Advised sales

As Published: 2012

MCOB 8.5A Advised sales

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

As Published: 2007

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

FEES App 1 Annex 1A Application Fees payable

As Published: 2024

FEES App 1 Annex 1A Application Fees payable

CASS 5.6 Client money distribution

As Published: 2004

CASS 5.6 Client money distribution

MCOB 13.3 Dealing fairly with customers: policy and procedures

As Published: 2006

MCOB 13.3 Dealing fairly with customers: policy and procedures

FEES 12.2 FOS ADR levy

As Published: 2015

FEES 12.2 FOS ADR levy

PERG 14.4A Activities relating to regulated sale and rent back agreements

As Published: 2010

PERG 14.4A Activities relating to regulated sale and rent back agreements

PERG 14.3 Activities relating to home reversion plans

As Published: 2006

PERG 14.3 Activities relating to home reversion plans

PERG 2.4 Link between activities and the United Kingdom

As Published: 2007

PERG 2.4 Link between activities and the United Kingdom

PERG 14.4 Activities relating to home purchase plans

As Published: 2006

PERG 14.4 Activities relating to home purchase plans