To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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EG 16.3 Applications under section 329(3) for variation or revocation of disapplication orders
Chapter: TOPIC TITLE
Effective Date: 26th February 2016
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EG 16.1 The FCA’s general approach to making disapplication orders
Chapter: TOPIC TITLE
Effective Date: 26th February 2016
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SYSC 5.2 Certification regime
Chapter: Employees, agents and other relevant persons [Note: Not mandatory for a common platform firm until 01/11/07. See SYSC TP1]Employees, agents and other relevant persons
Effective Date: 23rd June 2015
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EG 16.4 The effect of a disapplication order
Chapter: TOPIC TITLE
Effective Date: 26th February 2016
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CASS 5.5 Segregation and the operation of client money accounts
Chapter: Client money and mandates2007/4: insurance mediation activity
Effective Date: 16th December 2004
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SUP 10C.10 Application for approval and withdrawing an application for approval
Chapter: FCA senior management regime for approved persons in relevant authorised persons
Effective Date: 23rd June 2015
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EG 9.3 Prohibition orders and withdrawal of approval - approved persons
Chapter: TOPIC TITLE
Effective Date: 9th December 2015
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DEPP 2.5 Provision for certain categories of decision
Chapter: Statutory notices and the allocation of decision making
Effective Date: 27th September 2007
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EG 9.4 Prohibition orders against exempt persons and members of professional firms
Chapter: TOPIC TITLE
Effective Date: 26th February 2016
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SUP 10C.12 Conditional and time-limited approvals
Chapter: FCA senior management regime for approved persons in relevant authorised persons
Effective Date: 23rd June 2015
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SUP 10C.14 Changes to an FCA-approved person’s details
Chapter: FCA senior management regime for approved persons in relevant authorised persons
Effective Date: 23rd June 2015
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SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?
Chapter: Appointed representatives
Effective Date: 15th January 2004
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SUP 10A.13 Application for approval and withdrawing an application for approval
Chapter: FCA Approved Persons
Effective Date: 12th August 2015
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DEPP 6A.1 Introduction
Chapter: The power to impose a suspension or restriction
Effective Date: 22nd July 2010
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EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)
Chapter: TOPIC TITLE
Effective Date: 26th February 2016
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EG 6.2 Publicity during, or upon the conclusion of regulatory action
Chapter: TOPIC TITLE
Effective Date: 9th December 2015