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

COCON 1.2 Investments

As Published: 2015

COCON 1.2 Investments

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative

As Published: 2004

SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative

PERG 5.11 Other aspects of exclusions

As Published: 2006

PERG 5.11 Other aspects of exclusions

PERG 13.7 The territorial application of MiFID [deleted]

As Published: 2007

PERG 13.7 The territorial application of MiFID [deleted]

SUP 13A.4 EEA firms establishing a branch in the United Kingdom

As Published: 2007

SUP 13A.4 EEA firms establishing a branch in the United Kingdom

SUP 4.3 Appointment of actuaries

As Published: 2004

SUP 4.3 Appointment of actuaries

REC 2.16B Operation of a data reporting service

As Published: 2017

REC 2.16B Operation of a data reporting service

GENPRU 1.2 Adequacy of financial resources

As Published: 2006

GENPRU 1.2 Adequacy of financial resources

EG 12.1 The FCA’s general approach

As Published: 2016

EG 12.1 The FCA’s general approach

COLL 4.3 Approvals and notifications

As Published: 2006

COLL 4.3 Approvals and notifications

SYSC 4.2 Persons who effectively direct the business

As Published: 2008

SYSC 4.2 Persons who effectively direct the business

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

As Published: 2013

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

SYSC 4.9 Handover procedures and material

As Published: 2015

SYSC 4.9 Handover procedures and material

EG 19.25 Recognised Auction Platforms Regulations 2011

As Published: 2016

EG 19.25 Recognised Auction Platforms Regulations 2011

CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

SUP 10A.17 Further questions

As Published: 2013

SUP 10A.17 Further questions

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

As Published: 2004

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

PERG 8.21 Company statements, announcements and briefings

As Published: 2005

PERG 8.21 Company statements, announcements and briefings

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