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

INSPRU 1.5 Internal-contagion risk

As Published: 2006

INSPRU 1.5 Internal-contagion risk

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REC 3.9 Fees and incentive schemes

As Published: 2013

REC 3.9 Fees and incentive schemes

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COBS 6.1F Using a platform service for arranging and advising

As Published: 2011

COBS 6.1F Using a platform service for arranging and advising

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CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

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SUP 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

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MAR 1.6 Manipulating transactions

As Published: 2005

MAR 1.6 Manipulating transactions

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LR 12.4 Purchase of own equity shares

As Published: 2007

LR 12.4 Purchase of own equity shares

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LR 10.8 Miscellaneous

As Published: 2007

LR 10.8 Miscellaneous

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SUP 15.5 Core information requirements

As Published: 2005

SUP 15.5 Core information requirements

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PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

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CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators

As Published: 2018

CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators

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LR 14.3 Continuing obligations

As Published: 2006

LR 14.3 Continuing obligations

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EG 6.2 Publicity during, or upon the conclusion of regulatory action

As Published: 2015

EG 6.2 Publicity during, or upon the conclusion of regulatory action

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SYSC 4.8

As Published: 2015

SYSC 4.8

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MAR 1.3 Insider dealing

As Published: 2005

MAR 1.3 Insider dealing

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CASS 8.3 Records and internal controls

As Published: 2014

CASS 8.3 Records and internal controls

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EG 9.3 Prohibition orders and withdrawal of approval - approved persons

As Published: 2015

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

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EG 6.1 Publicity during FCA investigations

As Published: 2016

EG 6.1 Publicity during FCA investigations

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EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

As Published: 2016

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

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LR 7.2 The Listing and Premium Listing Principles

As Published: 2009

LR 7.2 The Listing and Premium Listing Principles

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