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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).

APER 4.2 Statement of Principle 2

As Published: 2005

APER 4.2 Statement of Principle 2

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COND 2.3 Effective supervision

As Published: 2004

COND 2.3 Effective supervision

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PERG 9.6 The investment condition (section 236(3) of the Act): general

As Published: 2009

PERG 9.6 The investment condition (section 236(3) of the Act): general

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BIPRU 12.2 Adequacy of liquidity resources

As Published: 2009

BIPRU 12.2 Adequacy of liquidity resources

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SYSC 9.1 General rules on record-keeping

As Published: 2007

SYSC 9.1 General rules on record-keeping

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SUP 5.6 Confidential information and privilege

As Published: 2001

SUP 5.6 Confidential information and privilege

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COBS 15.2 The right to cancel

As Published: 2007

COBS 15.2 The right to cancel

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SUP 16.3 General provisions on reporting

As Published: 2001

SUP 16.3 General provisions on reporting

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SUP 13A.5 EEA firms providing cross border services into the United Kingdom

As Published: 2009

SUP 13A.5 EEA firms providing cross border services into the United Kingdom

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DTR 4.4 Exemptions

As Published: 2010

DTR 4.4 Exemptions

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PR 5.5 Persons responsible for a prospectus

As Published: 2012

PR 5.5 Persons responsible for a prospectus

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LR 13.4 Class 1 circulars

As Published: 2007

LR 13.4 Class 1 circulars

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RCB 3.3 Asset pool notifications

As Published: 2011

RCB 3.3 Asset pool notifications

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REC 4.5 FCA supervision of action by UK RIEs under their default rules

As Published: 2013

REC 4.5 FCA supervision of action by UK RIEs under their default rules

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LR 19.1 Application

As Published: 2005

LR 19.1 Application

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SUP 16.11 Product Sales Data Reporting

As Published: 2004

SUP 16.11 Product Sales Data Reporting

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COBS 9.2 Assessing suitability

As Published: 2007

COBS 9.2 Assessing suitability

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PERG 5.11 Other aspects of exclusions

As Published: 2006

PERG 5.11 Other aspects of exclusions

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DTR 7.2 Corporate governance statements

As Published: 2010

DTR 7.2 Corporate governance statements

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CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

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