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

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

IFPRU 4.8 Internal ratings based approach: own estimates of exposure at default (EAD)

As Published: 2014

IFPRU 4.8 Internal ratings based approach: own estimates of exposure at default (EAD)

CASS 10.1 Application, purpose and general provisions

As Published: 2012

CASS 10.1 Application, purpose and general provisions

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

As Published: 2006

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

DISP 1.6 Complaints time limit rules

As Published: 2008

DISP 1.6 Complaints time limit rules

SUP 15.7 Form and method of notification

As Published: 2002

SUP 15.7 Form and method of notification

EG 4.3 Notification where a particular person is not yet under investigation

As Published: 2016

EG 4.3 Notification where a particular person is not yet under investigation

EG 3.7 Investigations to assist overseas authorities (section 169)

As Published: 2016

EG 3.7 Investigations to assist overseas authorities (section 169)

EG 12.4 Liaison with other prosecuting authorities

As Published: 2016

EG 12.4 Liaison with other prosecuting authorities

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

LR 13.4 Class 1 circulars

As Published: 2007

LR 13.4 Class 1 circulars

SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

As Published: 2002

SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

As Published: 2004

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

REC 6.2 Applications

As Published: 2007

REC 6.2 Applications

COBS 6.1A Adviser charging and remuneration

As Published: 2010

COBS 6.1A Adviser charging and remuneration

COLL 6.11 Risk control and internal reporting

As Published: 2011

COLL 6.11 Risk control and internal reporting

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

EG 5.5 The settlement discount scheme

As Published: 2015

EG 5.5 The settlement discount scheme

EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions

As Published: 2015

EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions

SUP 10C.5 FCA governing functions

As Published: 2015

SUP 10C.5 FCA governing functions