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

COBS 3.2 Clients

As Published: 2008

COBS 3.2 Clients

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PERG 13.3 Investment Services and Activities

As Published: 2007

PERG 13.3 Investment Services and Activities

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PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

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COBS 10.4 Assessing appropriateness: when it need not be done

As Published: 2007

COBS 10.4 Assessing appropriateness: when it need not be done

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COBS 15.3 Exercising a right to cancel

As Published: 2007

COBS 15.3 Exercising a right to cancel

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COBS 12.3 Non-independent research

As Published: 2007

COBS 12.3 Non-independent research

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COBS 10.1 Application and purpose provisions

As Published: 2007

COBS 10.1 Application and purpose provisions

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COBS 9.3 Guidance on assessing suitability

As Published: 2007

COBS 9.3 Guidance on assessing suitability

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COBS 13.1 The obligation to prepare product information

As Published: 2007

COBS 13.1 The obligation to prepare product information

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COBS 18.11 Authorised professional firms

As Published: 2007

COBS 18.11 Authorised professional firms

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COBS 20.3 Principles and Practices of Financial Management

As Published: 2008

COBS 20.3 Principles and Practices of Financial Management

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COBS 10.6 When a firm need not assess appropriateness

As Published: 2007

COBS 10.6 When a firm need not assess appropriateness

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PR App 1.1

As Published: 2005

PR App 1.1

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DTR 5.1 Notification of the acquisition or disposal of major shareholdings

As Published: 2006

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

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MAR 5.7 Pre-trade transparency requirements for shares

As Published: 2007

MAR 5.7 Pre-trade transparency requirements for shares

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REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

As Published: 2004

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

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COBS 18.3 Corporate finance business

As Published: 2007

COBS 18.3 Corporate finance business

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SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

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COBS 12.1 Purpose and application

As Published: 2007

COBS 12.1 Purpose and application

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COBS 9.5 Record keeping and retention periods for suitability records

As Published: 2007

COBS 9.5 Record keeping and retention periods for suitability records

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