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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 9.3 Guidance on assessing suitability

As Published: 2013

COBS 9.3 Guidance on assessing suitability

COBS 13.1 The obligation to prepare product information

As Published: 2007

COBS 13.1 The obligation to prepare product information

COBS 10.6 When a firm need not assess appropriateness

As Published: 2007

COBS 10.6 When a firm need not assess appropriateness

PR App 1.1

As Published: 2005

PR App 1.1

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

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

MAR 5.7 Pre-trade transparency requirements for shares

As Published: 2007

MAR 5.7 Pre-trade transparency requirements for shares

SUP App 3.9 Mapping of MiFID, CRD, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, CRD, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

COBS 18.3 Corporate finance business

As Published: 2007

COBS 18.3 Corporate finance business

BIPRU 1.1 Application

As Published: 2006

BIPRU 1.1 Application

COBS 12.1 Purpose and application

As Published: 2007

COBS 12.1 Purpose and application

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

REC 2.5 Systems and controls and conflicts

As Published: 2004

REC 2.5 Systems and controls and conflicts

MAR 1.3 Market abuse (insider dealing)

As Published: 2005

MAR 1.3 Market abuse (insider dealing)

COBS 4.13 UCITS

As Published: 2011

COBS 4.13 UCITS

PERG 10.4A The application of EU Directives

As Published: 2006

PERG 10.4A The application of EU Directives

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

PERG 13.6 CRD IV

As Published: 2007

PERG 13.6 CRD IV