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

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

FEES 6.7 Payment of levies

As Published: 2008

FEES 6.7 Payment of levies

ICOBS 6.4 Pre- and post-contract information: protection policies

As Published: 2015

ICOBS 6.4 Pre- and post-contract information: protection policies

CASS 9.5 Reporting to clients on request

As Published: 2014

CASS 9.5 Reporting to clients on request

CASS 5.8 Safe keeping of client's documents and other assets

As Published: 2010

CASS 5.8 Safe keeping of client's documents and other assets

SUP 4.3 Appointment of actuaries

As Published: 2004

SUP 4.3 Appointment of actuaries

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

As Published: 2007

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

SUP 13.3 Establishing a branch in another EEA State

As Published: 2001

SUP 13.3 Establishing a branch in another EEA State

SUP 13.4 Providing cross border services into another EEA State

As Published: 2001

SUP 13.4 Providing cross border services into another EEA State

SYSC 18.3 Internal arrangements

As Published: 2015

SYSC 18.3 Internal arrangements

BIPRU 7.11 Credit derivatives in the trading book

As Published: 2007

BIPRU 7.11 Credit derivatives in the trading book

PERG 8.32 Arranging deals in investments

As Published: 2017

PERG 8.32 Arranging deals in investments

DTR 6.1 Information requirements for issuers of shares and debt securities

As Published: 2006

DTR 6.1 Information requirements for issuers of shares and debt securities

COLL 6.10 Senior personnel responsibilities

As Published: 2011

COLL 6.10 Senior personnel responsibilities

SYSC 4 Annex 1

As Published: 2015

SYSC 4 Annex 1

COBS 16.3 Periodic reporting

As Published: 2009

COBS 16.3 Periodic reporting

CONC 4.2 Pre-contract disclosure and adequate explanations

As Published: 2014

CONC 4.2 Pre-contract disclosure and adequate explanations

SYSC 3.2 Areas covered by systems and controls

As Published: 2002

SYSC 3.2 Areas covered by systems and controls

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

As Published: 2012

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

COLL 7.6 Schemes of arrangement

As Published: 2011

COLL 7.6 Schemes of arrangement