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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 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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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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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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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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COBS 3.8 Policies, procedures and records

As Published: 2007

COBS 3.8 Policies, procedures and records

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COBS 10.3 Warning the client

As Published: 2007

COBS 10.3 Warning the client

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REC 2.5 Systems and controls and conflicts

As Published: 2004

REC 2.5 Systems and controls and conflicts

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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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COBS 4.13 UCITS

As Published: 2011

COBS 4.13 UCITS

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COBS 4.11 Record keeping: financial promotion

As Published: 2007

COBS 4.11 Record keeping: financial promotion

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PERG 10.4A The application of EU Directives

As Published: 2006

PERG 10.4A The application of EU Directives

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BIPRU 1.1 Application

As Published: 2006

BIPRU 1.1 Application

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COBS 6.1F Using a platform service for arranging and advising

As Published: 2011

COBS 6.1F Using a platform service for arranging and advising

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PERG 13.6 The recast Capital Adequacy Directive

As Published: 2007

PERG 13.6 The recast Capital Adequacy Directive

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PR 1.2 Requirement for a prospectus and exemptions

As Published: 2009

PR 1.2 Requirement for a prospectus and exemptions

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