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

SYSC 18.6 Whistleblowing obligations under MiFID and other EU legislation

As Published: 2017

SYSC 18.6 Whistleblowing obligations under MiFID and other EU legislation

GEN 5.1 Application and purpose

As Published: 2003

GEN 5.1 Application and purpose

EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions

As Published: 2015

EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions

CASS 11.11 Records, accounts and reconciliations

As Published: 2014

CASS 11.11 Records, accounts and reconciliations

PERG 2.5 Investments and activities: general

As Published: 2006

PERG 2.5 Investments and activities: general

PERG 2.2 Introduction

As Published: 2007

PERG 2.2 Introduction

SYSC 19D.1 Application and purpose

As Published: 2015

SYSC 19D.1 Application and purpose

SUP 9.4 Reliance on individual guidance

As Published: 2001

SUP 9.4 Reliance on individual guidance

FEES 11.1 Application, purpose and background

As Published: 2015

FEES 11.1 Application, purpose and background

SUP 10C.8 The other local responsibility function (SMF22)

As Published: 2015

SUP 10C.8 The other local responsibility function (SMF22)

LR 14.3 Continuing obligations

As Published: 2006

LR 14.3 Continuing obligations

FIT 1.3 Assessing fitness and propriety

As Published: 2015

FIT 1.3 Assessing fitness and propriety

PERG 7.6 Applications for a certificate

As Published: 2007

PERG 7.6 Applications for a certificate

EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act

As Published: 2016

EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act

SUP 9.1 Application and purpose

As Published: 2001

SUP 9.1 Application and purpose

FEES 13.2 The IML levy

As Published: 2017

FEES 13.2 The IML levy

FEES 7.2 The CFEB levy

As Published: 2011

FEES 7.2 The CFEB levy

EG 7.5 Payment of financial penalties

As Published: 2016

EG 7.5 Payment of financial penalties

SUP 3.11 Review of auditor’s client assets report

As Published: 2011

SUP 3.11 Review of auditor’s client assets report

BIPRU 8.7 Consolidated capital resources requirements

As Published: 2010

BIPRU 8.7 Consolidated capital resources requirements