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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 4.2C Control over a UK RIE

As Published: 2007

REC 4.2C Control over a UK RIE

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REC 4.8 The section 298 procedure

As Published: 2007

REC 4.8 The section 298 procedure

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MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

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DISP App 1.1 Introduction

As Published: 2005

DISP App 1.1 Introduction

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FEES 5.1 Application and Purpose

As Published: 2005

FEES 5.1 Application and Purpose

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MAR 1.10 Statutory exceptions

As Published: 2007

MAR 1.10 Statutory exceptions

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MCOB 12.1 Application

As Published: 2006

MCOB 12.1 Application

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EG 14.2 Choice of powers

As Published: 2016

EG 14.2 Choice of powers

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EG 15.3 Disqualification under section 345

As Published: 2016

EG 15.3 Disqualification under section 345

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EG 15.4 Disqualification under section 249 or section 261K

As Published: 2016

EG 15.4 Disqualification under section 249 or section 261K

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CONC App 1.4 Exemption for high net worth borrowers and hirers and exemption relating to businesses

As Published: 2014

CONC App 1.4 Exemption for high net worth borrowers and hirers and exemption relating to businesses

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SYSC 4.2 Persons who effectively direct the business

As Published: 2008

SYSC 4.2 Persons who effectively direct the business

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SUP 10A.9 Significant management functions

As Published: 2014

SUP 10A.9 Significant management functions

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MCOB 13.1 Application

As Published: 2006

MCOB 13.1 Application

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EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004

As Published: 2015

EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004

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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

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LR 9.3 Continuing obligations: holders

As Published: 2006

LR 9.3 Continuing obligations: holders

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FEES App 1 Annex 3 Emergencies

As Published: 2012

FEES App 1 Annex 3 Emergencies

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DEPP 3.2 The operation of the RDC

As Published: 2013

DEPP 3.2 The operation of the RDC

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SUP 15.9 Notifications by members of financial conglomerates

As Published: 2004

SUP 15.9 Notifications by members of financial conglomerates

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