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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 19.34 Markets in Financial Instruments Regulations 2017

As Published: 2017

EG 19.34 Markets in Financial Instruments Regulations 2017

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LR 9.3 Continuing obligations: holders

As Published: 2006

LR 9.3 Continuing obligations: holders

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MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

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REC 6.3 Recognition requirements

As Published: 2004

REC 6.3 Recognition requirements

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MAR 9.1 Application, introduction, approach and structure

As Published: 2017

MAR 9.1 Application, introduction, approach and structure

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MAR 1.3 Insider dealing

As Published: 2005

MAR 1.3 Insider dealing

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BIPRU 7.9 Use of a CAD 1 model

As Published: 2007

BIPRU 7.9 Use of a CAD 1 model

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SUP 15.13 Notification by CBTL firms

As Published: 2016

SUP 15.13 Notification by CBTL firms

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RCB 3.5 Other notifications

As Published: 2011

RCB 3.5 Other notifications

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MCOB 4.7A Advised sales

As Published: 2012

MCOB 4.7A Advised sales

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TC App 3.1 Circumstances in which TC does not apply

As Published: 2007

TC App 3.1 Circumstances in which TC does not apply

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EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)

As Published: 2016

EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)

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DISP 1.9 Complaints record rule

As Published: 2011

DISP 1.9 Complaints record rule

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PRIN 1.2 Clients and the Principles

As Published: 2004

PRIN 1.2 Clients and the Principles

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REC 2.16 Complaints

As Published: 2004

REC 2.16 Complaints

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REC 2A.3 Guidance on RAP recognition requirements

As Published: 2012

REC 2A.3 Guidance on RAP recognition requirements

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LR 3.3 Shares

As Published: 2007

LR 3.3 Shares

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MAR 1.2 Market Abuse: general

As Published: 2002

MAR 1.2 Market Abuse: general

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SYSC 4 Annex 1 The main business activities and functions of a relevant authorised person

As Published: 2015

SYSC 4 Annex 1 The main business activities and functions of a relevant authorised person

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PR 3.1 Approval of prospectus

As Published: 2005

PR 3.1 Approval of prospectus

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