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

LR 3.3 Shares

As Published: 2007

LR 3.3 Shares

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CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

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SUP 3.3 Appointment of auditors

As Published: 2004

SUP 3.3 Appointment of auditors

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REC 6A.1 Exercise of passport rights by EEA market operator

As Published: 2007

REC 6A.1 Exercise of passport rights by EEA market operator

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PR 4.2 Third country issuers

As Published: 2005

PR 4.2 Third country issuers

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PERG 8.21 Company statements, announcements and briefings

As Published: 2005

PERG 8.21 Company statements, announcements and briefings

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REC 2A.4 Power and procedure for RAP penalties and censures

As Published: 2012

REC 2A.4 Power and procedure for RAP penalties and censures

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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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SYSC 3.2 Areas covered by systems and controls

As Published: 2002

SYSC 3.2 Areas covered by systems and controls

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PERG 16.4 Acting as a depositary of an AIF

As Published: 2013

PERG 16.4 Acting as a depositary of an AIF

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IFPRU 11.2 Individual recovery plans

As Published: 2015

IFPRU 11.2 Individual recovery plans

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EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy

As Published: 2016

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy

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IFPRU 11.7 Notifications

As Published: 2015

IFPRU 11.7 Notifications

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EG 19.9 Electronic commerce activity directions: the FCA’s policy

As Published: 2016

EG 19.9 Electronic commerce activity directions: the FCA’s policy

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SYSC 19C.3 Remuneration principles

As Published: 2014

SYSC 19C.3 Remuneration principles

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EG 13.5 Petitions for administration orders or compulsory winding up orders: determining which insolvency order to seek

As Published: 2016

EG 13.5 Petitions for administration orders or compulsory winding up orders: determining which insolvency order to seek

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SUP 14.1 Application and purpose

As Published: 2001

SUP 14.1 Application and purpose

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EG 7.6 Private warnings

As Published: 2015

EG 7.6 Private warnings

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SUP 9.2 Making a request for individual guidance

As Published: 2005

SUP 9.2 Making a request for individual guidance

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DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

As Published: 2010

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

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