To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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IPRU-INV 9.2 GENERAL REQUIREMENTS
Chapter: Financial resources requirements for an exempt CAD firm [deleted]TOPIC TITLE
Effective Date: 30th December 2015
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IPRU-INV 9.1 APPLICATION
Chapter: Financial resources requirements for an exempt CAD firm [deleted]TOPIC TITLE
Effective Date: 30th December 2015
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IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS
Chapter: TOPIC TITLE
Effective Date: 3rd December 2015
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IPRU-INV 13.13 CAPITAL RESOURCES REQUIREMENT FOR AN EXEMPT CAD FIRM AND A CATEGORY B FIRM WHOSE PERMISSION DOES NOT INCLUDE ESTABLISHING, OPERATING OR WINDING UP A PERSONAL PENSION SCHEME
Chapter: TOPIC TITLE
Effective Date: 3rd December 2015
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IPRU-INV 9.4 POLICY TERMS FOR PROFESSIONAL INDEMNITY INSURANCE
Chapter: Financial resources requirements for an exempt CAD firm [deleted]TOPIC TITLE
Effective Date: 30th December 2015
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SUP 16.12 Integrated Regulatory Reporting
Chapter: Reporting requirements
Effective Date: 21st December 2006
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PERG 13.6 CRD IV
Chapter: Guidance on the scope of the Markets in Financial Instruments Directive and the recast Capital Adequacy Directive
Effective Date: 25th October 2007
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IPRU-INV 13.1A FINANCIAL RESOURCES REQUIREMENTS FOR AN EXEMPT CAD FIRM
Chapter: TOPIC TITLE
Effective Date: 24th June 2010
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SUP 3.10 Duties of auditors: notification and report on client assets
Chapter: Auditors
Effective Date: 18th March 2004
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LR 15.5 Transactions
Chapter: Investment entitiesClosed-Ended Investment Funds
Effective Date: 28th June 2007
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LR 15.2 Requirements for listing
Chapter: Investment entitiesClosed-Ended Investment Funds
Effective Date: 6th December 2007
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IPRU-INV 13.14 CALCULATION OF ANNUAL INCOME FOR AN EXEMPT CAD FIRM AND A CATEGORY B FIRM WHOSE PERMISSION DOES NOT INCLUDE ESTABLISHING, OPERATING OR WINDING UP A PERSONAL PENSION SCHEME
Chapter: TOPIC TITLE
Effective Date: 3rd December 2015
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DTR 5.2 Acquisition or disposal of major proportions of voting rights
Chapter: Vote Holder and Issuer Notification Rules
Effective Date: 22nd March 2007
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COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs
Chapter: Investment and borrowing powers
Effective Date: 25th February 2010
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SUP 11.3 Requirements on controllers or proposed controllers under the Act
Chapter: Controllers and close links
Effective Date: 20th September 2001