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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 2.15 Discipline

As Published: 2004

REC 2.15 Discipline

EG 3.7 Investigations to assist overseas authorities (section 169)

As Published: 2016

EG 3.7 Investigations to assist overseas authorities (section 169)

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

As Published: 2016

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

As Published: 2006

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

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)

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

As Published: 2016

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

SUP 5.3 Policy on the use of skilled persons

As Published: 2005

SUP 5.3 Policy on the use of skilled persons

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

As Published: 2015

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

FIT 1.3 Assessing fitness and propriety

As Published: 2015

FIT 1.3 Assessing fitness and propriety

SYSC 4.2 Persons who effectively direct the business

As Published: 2008

SYSC 4.2 Persons who effectively direct the business

SUP 10C.11 Statements of responsibilities

As Published: 2015

SUP 10C.11 Statements of responsibilities

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

SYSC 9.1 General rules on record-keeping

As Published: 2007

SYSC 9.1 General rules on record-keeping

SUP 5.4 Appointment and reporting process

As Published: 2016

SUP 5.4 Appointment and reporting process

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

As Published: 2017

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

PERG 2.5 Investments and activities: general

As Published: 2006

PERG 2.5 Investments and activities: general

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

As Published: 2016

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

APER 1.1A Application

As Published: 2015

APER 1.1A Application