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

PERG 8.4 Invitation or inducement

As Published: 2005

PERG 8.4 Invitation or inducement

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COBS 9.2 Assessing suitability

As Published: 2007

COBS 9.2 Assessing suitability

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LR 6.14 Shares in public hands

As Published: 2017

LR 6.14 Shares in public hands

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IPRU-INV 5.1 Application

As Published: 2016

IPRU-INV 5.1 Application

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IPRU-INV 2.1 APPLICATION

As Published: 2015

IPRU-INV 2.1 APPLICATION

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PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

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IPRU-INV 13.13 CAPITAL RESOURCES REQUIREMENT FOR AN EXEMPT CAD FIRM AND A CATEGORY B FIRM

As Published: 2015

IPRU-INV 13.13 CAPITAL RESOURCES REQUIREMENT FOR AN EXEMPT CAD FIRM AND A CATEGORY B FIRM

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LR 11.1 Related party transactions

As Published: 2005

LR 11.1 Related party transactions

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COBS 6.4 Disclosure of charges, remuneration and commission

As Published: 2007

COBS 6.4 Disclosure of charges, remuneration and commission

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PERG 8.33 Introducing

As Published: 2007

PERG 8.33 Introducing

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LR 18.2 Requirements for listing

As Published: 2007

LR 18.2 Requirements for listing

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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

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SUP 10A.10 Customer-dealing functions

As Published: 2014

SUP 10A.10 Customer-dealing functions

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COBS 11.1 Application

As Published: 2007

COBS 11.1 Application

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LR 15.4 Continuing obligations

As Published: 2007

LR 15.4 Continuing obligations

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LR 14.2 Requirements for listing

As Published: 2007

LR 14.2 Requirements for listing

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PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

As Published: 2012

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

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LR 15.6 Notifications and periodic financial information

As Published: 2007

LR 15.6 Notifications and periodic financial information

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BIPRU 7.8 Securities underwriting

As Published: 2018

BIPRU 7.8 Securities underwriting

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SUP 10C.8 The other local responsibility function (SMF22) and EEA branch senior manager functions (SMF21)

As Published: 2015

SUP 10C.8 The other local responsibility function (SMF22) and EEA branch senior manager functions (SMF21)

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