To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments
Chapter: Shares, deposits and borrowing
Effective Date: 9th December 2016
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SUP 16.23 Annual Financial Crime Report
Chapter: Reporting requirements
Effective Date: 29th July 2016
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FEES 4.4 Information on which fees are calculated
Chapter: Periodic fees
Effective Date: 27th September 2007
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PERG 2.7 Activities: a broad outline
Chapter: Authorisation and regulated activities
Effective Date: 22nd June 2006
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PERG 2.6 Specified investments: a broad outline
Chapter: Authorisation and regulated activities
Effective Date: 15th September 2005
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COLL 5.2 General investment powers and limits for UCITS schemes
Chapter: Investment and borrowing powers
Effective Date: 20th January 2005
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CASS 6.1 Application
Chapter: Custody : MiFID business rules2008/45
Effective Date: 25th October 2007
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PERG 8.14 Other financial promotions
Chapter: Financial promotion and related activities
Effective Date: 15th September 2005
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CREDS 2.2 General provisions
Chapter: Senior management arrangements, systems and controls
Effective Date: 21st March 2012
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SYSC 10.1 Application
Chapter: Conflicts of interest [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]Conflicts of interest
Effective Date: 23rd November 2006
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MCOB 4.4A Initial disclosure requirements
Chapter: Advising and selling standards
Effective Date: 27th September 2012
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MCOB 5.6 Content of illustrations
Chapter: Pre-application disclosure
Effective Date: 19th February 2004
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PERG 8.4 Invitation or inducement
Chapter: Financial promotion and related activities
Effective Date: 15th September 2005
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CASS 7.19 Clearing member client money sub-pools
Chapter: Client money : MiFID business rules2008/45
Effective Date: 5th June 2014
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FEES 6.7 Payment of levies
Chapter: Financial Services Compensation Scheme Funding
Effective Date: 28th September 2008
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CASS 7.10 Application and purpose
Chapter: Client money : MiFID business rules2008/45
Effective Date: 5th June 2014
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SYSC 10A.1 Application
Chapter: Recording telephone conversations and electronic communications
Effective Date: 3rd July 2017
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COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
Chapter: Communicating with clients, including financial promotions
Effective Date: 25th October 2007
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PERG 2.8 Exclusions applicable to particular regulated activities
Chapter: Authorisation and regulated activities
Effective Date: 15th September 2005