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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 7.1 Application

As Published: 2015

GEN 7.1 Application

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

As Published: 2015

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

REC 6.1 Introduction and legal background

As Published: 2007

REC 6.1 Introduction and legal background

COND 2.4 Appropriate resources

As Published: 2004

COND 2.4 Appropriate resources

SUP 13.1 Application and purpose

As Published: 2001

SUP 13.1 Application and purpose

REC 3.14 Products, services and normal hours of operation

As Published: 2007

REC 3.14 Products, services and normal hours of operation

REC 3.15 Suspension of services and inability to operate facilities

As Published: 2007

REC 3.15 Suspension of services and inability to operate facilities

SUP 8.3 Applying for a waiver

As Published: 2002

SUP 8.3 Applying for a waiver

PR App 1.1

As Published: 2005

PR App 1.1

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

As Published: 2009

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

PERG 7.1 Application and purpose

As Published: 2006

PERG 7.1 Application and purpose

SUP 10A.13 Application for approval and withdrawing an application for approval

As Published: 2015

SUP 10A.13 Application for approval and withdrawing an application for approval

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

As Published: 2006

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

PERG 6.7 Examples

As Published: 2005

PERG 6.7 Examples

FIT 2.1 Honesty, integrity and reputation

As Published: 2003

FIT 2.1 Honesty, integrity and reputation

MCOB 2.7A E-Commerce

As Published: 2007

MCOB 2.7A E-Commerce

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

As Published: 2007

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent

As Published: 2004

SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent

SUP 13A.7 Top-up permission

As Published: 2007

SUP 13A.7 Top-up permission

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

As Published: 2005

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)