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Effective Period

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

FEES 10.1 Application, purpose and background

As Published: 2015

FEES 10.1 Application, purpose and background

RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

As Published: 2016

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

COND 2.3 Effective supervision

As Published: 2004

COND 2.3 Effective supervision

SUP 9.1 Application and purpose

As Published: 2001

SUP 9.1 Application and purpose

FEES 6.1 Application

As Published: 2005

FEES 6.1 Application

COND 2.5 Suitability

As Published: 2004

COND 2.5 Suitability

COLL 4.2 Pre-sale notifications

As Published: 2006

COLL 4.2 Pre-sale notifications

REC 3.14A Operation of a trading venue

As Published: 2007

REC 3.14A Operation of a trading venue

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

BIPRU 12.8 Cross-border and intra-group management of liquidity

As Published: 2010

BIPRU 12.8 Cross-border and intra-group management of liquidity

BIPRU 8.5 Basis of consolidation

As Published: 2010

BIPRU 8.5 Basis of consolidation

EG 16.2 Disapplication orders

As Published: 2016

EG 16.2 Disapplication orders

SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities

As Published: 2015

SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities

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

SUP 10C.11 Statements of responsibilities

As Published: 2015

SUP 10C.11 Statements of responsibilities

SUP 13.2 Introduction

As Published: 2009

SUP 13.2 Introduction

SUP 18.1 Application

As Published: 2001

SUP 18.1 Application

SUP 3.4 Auditors' qualifications

As Published: 2007

SUP 3.4 Auditors' qualifications

EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017

As Published: 2018

EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017