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Effective Period

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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

SUP 11.9 Changes in close links

As Published: 2004

SUP 11.9 Changes in close links

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MAR 1.3 Market abuse (insider dealing)

As Published: 2005

MAR 1.3 Market abuse (insider dealing)

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PERG 8.5 In the course of business

As Published: 2005

PERG 8.5 In the course of business

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COND 2.2 Threshold condition 2: Location of offices

As Published: 2004

COND 2.2 Threshold condition 2: Location of offices

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COBS 3.2 Clients

As Published: 2007

COBS 3.2 Clients

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SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

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CRED 7.2 Investment

As Published: 2003

CRED 7.2 Investment

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FIT 2.1 Honesty, integrity and reputation

As Published: 2003

FIT 2.1 Honesty, integrity and reputation

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REC 6.6 Supervision

As Published: 2001

REC 6.6 Supervision

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COBS 11.7 Personal account dealing

As Published: 2007

COBS 11.7 Personal account dealing

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SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

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MAR 1.2 Market Abuse: general

As Published: 2002

MAR 1.2 Market Abuse: general

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SUP 15.4 Notified persons

As Published: 2006

SUP 15.4 Notified persons

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CASS 5.1 Application

As Published: 2004

CASS 5.1 Application

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DEPP 4.1 Executive decision maker

As Published: 2007

DEPP 4.1 Executive decision maker

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COND 2.5 Threshold condition 5: Suitability

As Published: 2004

COND 2.5 Threshold condition 5: Suitability

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SYSC 4.2 Persons who effectively direct the business

As Published: 2002

SYSC 4.2 Persons who effectively direct the business

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SUP 11.5 Form of notification by firms

As Published: 2004

SUP 11.5 Form of notification by firms

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LR 13.3 Contents of all circulars

As Published: 2007

LR 13.3 Contents of all circulars

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LR 9.5 Transactions

As Published: 2007

LR 9.5 Transactions

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