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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).

PERG 15.1 Introduction

As Published: 2009

PERG 15.1 Introduction

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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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SYSC 10.2 Chinese walls

As Published: 2007

SYSC 10.2 Chinese walls

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COLL 3.3 Units

As Published: 2007

COLL 3.3 Units

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COLL 4.3 Approvals and notifications

As Published: 2006

COLL 4.3 Approvals and notifications

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PERG 14.7 Exemptions

As Published: 2010

PERG 14.7 Exemptions

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SUP 13.5 Notices of intention

As Published: 2001

SUP 13.5 Notices of intention

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PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

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PERG 14.2 General issues

As Published: 2006

PERG 14.2 General issues

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MIPRU 4.3 Calculation of annual income

As Published: 2006

MIPRU 4.3 Calculation of annual income

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PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

As Published: 2005

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

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SUP 3.5 Auditors' independence

As Published: 2008

SUP 3.5 Auditors' independence

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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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SUP 3.7 Notification of matters raised by auditor

As Published: 2004

SUP 3.7 Notification of matters raised by auditor

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SUP 13A.8 Sources of further information

As Published: 2006

SUP 13A.8 Sources of further information

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SUP App 2.1 Application

As Published: 2004

SUP App 2.1 Application

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SUP 14.8 Further guidance

As Published: 2001

SUP 14.8 Further guidance

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SUP 3.8 Rights and duties of auditors

As Published: 2004

SUP 3.8 Rights and duties of auditors

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LR 8.3 Role of a sponsor: general

As Published: 2008

LR 8.3 Role of a sponsor: general

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REC 3.8 Financial and other information

As Published: 2001

REC 3.8 Financial and other information

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