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

MAR 5.7 Pre-trade transparency requirements for shares

As Published: 2007

MAR 5.7 Pre-trade transparency requirements for shares

COBS 6.4 Disclosure of charges, remuneration and commission

As Published: 2007

COBS 6.4 Disclosure of charges, remuneration and commission

COLL 6.10 Senior personnel responsibilities

As Published: 2011

COLL 6.10 Senior personnel responsibilities

SYSC 13.7 Processes and systems

As Published: 2007

SYSC 13.7 Processes and systems

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

SUP 8.5 Notification of altered circumstances relating to waivers

As Published: 2001

SUP 8.5 Notification of altered circumstances relating to waivers

SUP 8.7 Varying waivers

As Published: 2001

SUP 8.7 Varying waivers

MAR 1.2 Market Abuse: general

As Published: 2002

MAR 1.2 Market Abuse: general

COBS 19.3 Product disclosure to members of occupational pension schemes

As Published: 2007

COBS 19.3 Product disclosure to members of occupational pension schemes

PERG 3A.5 Exclusions

As Published: 2011

PERG 3A.5 Exclusions

DISP INTRO 1 Introduction

As Published: 2008

DISP INTRO 1 Introduction

REC 3.5 Disciplinary action and events relating to key individuals

As Published: 2001

REC 3.5 Disciplinary action and events relating to key individuals

DISP App 3.6 Determining the effect of a breach or failing

As Published: 2010

DISP App 3.6 Determining the effect of a breach or failing

DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

COBS 13.4 Contents of a key features illustration

As Published: 2007

COBS 13.4 Contents of a key features illustration

CASS 9.1 Application

As Published: 2010

CASS 9.1 Application

COBS 18.11 Authorised professional firms

As Published: 2007

COBS 18.11 Authorised professional firms

LR 15.3 Listing applications and procedures

As Published: 2010

LR 15.3 Listing applications and procedures

REC 3.17 Inability to discharge regulatory functions

As Published: 2001

REC 3.17 Inability to discharge regulatory functions

LR 12.1 Application

As Published: 2005

LR 12.1 Application