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

REC 6.5 FCA decision on recognition

As Published: 2013

REC 6.5 FCA decision on recognition

MAR 5.6 Reporting requirements

As Published: 2007

MAR 5.6 Reporting requirements

REC 3.5 Disciplinary action and events relating to key individuals

As Published: 2013

REC 3.5 Disciplinary action and events relating to key individuals

DEPP 6A.4 The interaction between the power to impose suspensions or restrictions and the power to impose penalties or public censures

As Published: 2013

DEPP 6A.4 The interaction between the power to impose suspensions or restrictions and the power to impose penalties or public censures

SUP 17.4 Information in transaction reports

As Published: 2007

SUP 17.4 Information in transaction reports

PERG 5.8 The regulated activities: advising on contracts of insurance

As Published: 2013

PERG 5.8 The regulated activities: advising on contracts of insurance

SUP 14.6 Cancelling qualification for authorisation

As Published: 2004

SUP 14.6 Cancelling qualification for authorisation

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

As Published: 2007

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

BIPRU 7.1 Application, purpose, general provisions and non-standard transactions

As Published: 2006

BIPRU 7.1 Application, purpose, general provisions and non-standard transactions

BIPRU 9.11 Calculation of risk weighted exposure amounts under the standardised approach to securitisations

As Published: 2010

BIPRU 9.11 Calculation of risk weighted exposure amounts under the standardised approach to securitisations

REC 4.2F Information gathering power on FCA’s own initiative

As Published: 2013

REC 4.2F Information gathering power on FCA’s own initiative

SUP 3.7 Notification of matters raised by auditor

As Published: 2004

SUP 3.7 Notification of matters raised by auditor

PERG 8.20 Additional restriction on the promotion of collective investment schemes

As Published: 2005

PERG 8.20 Additional restriction on the promotion of collective investment schemes

PERG 8.25 Advice must relate to an investment which is a security or contractually based investment

As Published: 2006

PERG 8.25 Advice must relate to an investment which is a security or contractually based investment

SUP 16.14 Client money and asset return

As Published: 2010

SUP 16.14 Client money and asset return

PERG 9.1 Application and Purpose

As Published: 2007

PERG 9.1 Application and Purpose

COLL 13.2 Operational requirements for feeder NURS

As Published: 2012

COLL 13.2 Operational requirements for feeder NURS

ICOBS 2.1 Client categorisation

As Published: 2007

ICOBS 2.1 Client categorisation

PERG 4.3 Regulated activities related to mortgages

As Published: 2005

PERG 4.3 Regulated activities related to mortgages

COLL 3.1 Introduction

As Published: 2013

COLL 3.1 Introduction