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

GEN 1.3 Emergency

As Published: 2003

GEN 1.3 Emergency

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

EG 18.1 Cancellation on the FCA’s own-initiative

As Published: 2016

EG 18.1 Cancellation on the FCA’s own-initiative

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

SUP 14.1 Application and purpose

As Published: 2001

SUP 14.1 Application and purpose

EG App 3.2 BIS

As Published: 2016

EG App 3.2 BIS

SUP 13A.1 Application and purpose

As Published: 2005

SUP 13A.1 Application and purpose

EG 7.2 Alternatives to sanctions

As Published: 2015

EG 7.2 Alternatives to sanctions

DTR 1.1 Application and purpose (Disclosure guidance)

As Published: 2005

DTR 1.1 Application and purpose (Disclosure guidance)

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

SUP 9.1 Application and purpose

As Published: 2001

SUP 9.1 Application and purpose

SUP 10A.7 FCA required functions

As Published: 2013

SUP 10A.7 FCA required functions

SUP 3.8 Rights and duties of auditors

As Published: 2004

SUP 3.8 Rights and duties of auditors

SUP 10C.3 General material about the definition of controlled functions

As Published: 2015

SUP 10C.3 General material about the definition of controlled functions

CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

DEPP 4.1 Executive decision maker

As Published: 2007

DEPP 4.1 Executive decision maker

REC 4.5 FCA supervision of action by UK RIEs under their default rules

As Published: 2013

REC 4.5 FCA supervision of action by UK RIEs under their default rules

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

COLL 11.6 Winding up, merger and division of master UCITS

As Published: 2013

COLL 11.6 Winding up, merger and division of master UCITS

REC 4.2A Publication of information by UK RIEs and RAPs

As Published: 2007

REC 4.2A Publication of information by UK RIEs and RAPs