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: 4th November 2016
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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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COBS 11.6 Use of dealing commission [deleted]
Chapter: Dealing and managing
Effective Date: 26th July 2007
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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
Chapter: TOPIC TITLE
Effective Date: 3rd December 2015
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IPRU-INV 5.1 Application
Chapter: Financial resourcesInterim Prudential sourcebook for Investment Businesses
Effective Date: 4th November 2016
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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: 28th March 2019
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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 Capital resources and professional indemnity insurance 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
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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IPRU-INV 5.8 Calculation of own funds and liquid capital
Chapter: Financial resourcesInterim Prudential sourcebook for Investment Businesses
Effective Date: 4th November 2016