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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 9.5 Record keeping and retention periods for suitability records

As Published: 2007

COBS 9.5 Record keeping and retention periods for suitability records

COBS 3.8 Policies, procedures and records

As Published: 2007

COBS 3.8 Policies, procedures and records

COBS 10.3 Warning the client

As Published: 2007

COBS 10.3 Warning the client

DEPP 2.5 Provision for certain categories of decision

As Published: 2007

DEPP 2.5 Provision for certain categories of decision

LR 9.2 Requirements with continuing application

As Published: 2006

LR 9.2 Requirements with continuing application

COBS 4.11 Record keeping: financial promotion

As Published: 2007

COBS 4.11 Record keeping: financial promotion

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

COLL 11.6 Winding up, merger and division of master UCITS

As Published: 2011

COLL 11.6 Winding up, merger and division of master UCITS

CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

PERG 4.14 Mortgage activities carried on by professional firms

As Published: 2005

PERG 4.14 Mortgage activities carried on by professional firms

PERG 12.2 Establishing, operating or winding up a personal pension scheme

As Published: 2006

PERG 12.2 Establishing, operating or winding up a personal pension scheme

TC 2.1 Assessing and maintaining competence

As Published: 2002

TC 2.1 Assessing and maintaining competence

LR 14.3 Continuing obligations

As Published: 2006

LR 14.3 Continuing obligations

SUP 18.3 Insurance business transfers outside the United Kingdom

As Published: 2001

SUP 18.3 Insurance business transfers outside the United Kingdom

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

SUP 11.4 Requirements on firms

As Published: 2004

SUP 11.4 Requirements on firms

MIPRU 4.2 Capital resources requirements

As Published: 2006

MIPRU 4.2 Capital resources requirements

REC 2.7 Access to facilities

As Published: 2004

REC 2.7 Access to facilities