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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 6.5B 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

PERG 16.6 Exclusions

As Published: 2013

PERG 16.6 Exclusions

EG 19.23 Electronic Money Regulations 2011

As Published: 2016

EG 19.23 Electronic Money Regulations 2011

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?

EG 19.10 Enterprise Act 2002

As Published: 2016

EG 19.10 Enterprise Act 2002

COND 2.2 Location of offices

As Published: 2004

COND 2.2 Location of offices

SUP 11.2 Purpose

As Published: 2004

SUP 11.2 Purpose

MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

As Published: 2016

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

COLL 12.2 UK UCITS management companies

As Published: 2016

COLL 12.2 UK UCITS management companies

IPRU-INV 11.3 DETAIL OF MAIN REQUIREMENTS

As Published: 2015

IPRU-INV 11.3 DETAIL OF MAIN REQUIREMENTS

LR 11.1 Related party transactions

As Published: 2005

LR 11.1 Related party transactions

COBS 2.3 Inducements

As Published: 2007

COBS 2.3 Inducements

PERG 4.5 Arranging regulated mortgage contracts

As Published: 2013

PERG 4.5 Arranging regulated mortgage contracts

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

COLL 8.5 Powers and responsibilities

As Published: 2006

COLL 8.5 Powers and responsibilities

MIPRU 4.1 Application and purpose

As Published: 2006

MIPRU 4.1 Application and purpose

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

As Published: 2015

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

As Published: 2006

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

ICOBS 6.4 Pre- and post-contract information: protection policies

As Published: 2015

ICOBS 6.4 Pre- and post-contract information: protection policies