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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 4.4 Complaints

As Published: 2011

REC 4.4 Complaints

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

CONC 2.10 Mental capacity guidance

As Published: 2014

CONC 2.10 Mental capacity guidance

MIPRU 4.2D Liquidity resources requirements

As Published: 2013

MIPRU 4.2D Liquidity resources requirements

IFPRU 8.1 Prudential consolidation

As Published: 2014

IFPRU 8.1 Prudential consolidation

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

FIT 1.3 Assessing fitness and propriety

As Published: 2015

FIT 1.3 Assessing fitness and propriety

BIPRU 5.7 Unfunded credit protection

As Published: 2010

BIPRU 5.7 Unfunded credit protection

FEES 1.1 Application and Purpose

As Published: 2005

FEES 1.1 Application and Purpose

CASS 7.16 The standard methods of internal client money reconciliation

As Published: 2014

CASS 7.16 The standard methods of internal client money reconciliation

LR 15.4 Continuing obligations

As Published: 2007

LR 15.4 Continuing obligations

BIPRU 12.6 Simplified ILAS

As Published: 2009

BIPRU 12.6 Simplified ILAS

REC 6.6 Supervision

As Published: 2013

REC 6.6 Supervision

BIPRU 7.8 Securities underwriting

As Published: 2007

BIPRU 7.8 Securities underwriting

LR 5.2 Cancelling listing

As Published: 2007

LR 5.2 Cancelling listing

IPRU-INV 13.1A Capital resources and professional indemnity insurance requirements for an exempt CAD firm

As Published: 2010

IPRU-INV 13.1A Capital resources and professional indemnity insurance requirements for an exempt CAD firm

DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?

As Published: 2008

DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?

REC 4.7 The section 297 power to revoke recognition

As Published: 2007

REC 4.7 The section 297 power to revoke recognition

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

CONC 6.7 Post contract: business practices

As Published: 2014

CONC 6.7 Post contract: business practices