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

EG 9.5 Prohibition orders against other individuals

As Published: 2016

EG 9.5 Prohibition orders against other individuals

EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act

As Published: 2016

EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act

LR 8.3 Role of a sponsor: general

As Published: 2008

LR 8.3 Role of a sponsor: general

PERG 9.11 Frequently Asked Questions

As Published: 2005

PERG 9.11 Frequently Asked Questions

EG 3.4 Investigations into general and specific concerns (sections 167 and 168)

As Published: 2016

EG 3.4 Investigations into general and specific concerns (sections 167 and 168)

SUP 1A.2 Introduction

As Published: 2013

SUP 1A.2 Introduction

LR 8.2 When a sponsor must be appointed or its guidance obtained

As Published: 2007

LR 8.2 When a sponsor must be appointed or its guidance obtained

RCB 3.3 Asset pool notifications

As Published: 2011

RCB 3.3 Asset pool notifications

SYSC 13.6 People

As Published: 2007

SYSC 13.6 People

EG 19.11 Financial Services (Distance Marketing) Regulations 2004

As Published: 2016

EG 19.11 Financial Services (Distance Marketing) Regulations 2004

SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

As Published: 2005

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

EG 20.2 Information gathering and investigation powers

As Published: 2016

EG 20.2 Information gathering and investigation powers

SUP 8.4 Reliance on waivers

As Published: 2001

SUP 8.4 Reliance on waivers

EG 16.4 The effect of a disapplication order

As Published: 2016

EG 16.4 The effect of a disapplication order

SUP 13.7 Changes to cross border services

As Published: 2001

SUP 13.7 Changes to cross border services

COBS 12.4 Investment recommendations

As Published: 2007

COBS 12.4 Investment recommendations

DISP 2.3 To which activities does the Compulsory Jurisdiction apply?

As Published: 2003

DISP 2.3 To which activities does the Compulsory Jurisdiction apply?

PERG 4.12 Appointed representatives

As Published: 2014

PERG 4.12 Appointed representatives

SUP 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets