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

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

As Published: 2016

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

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SUP 3.3 Appointment of auditors

As Published: 2004

SUP 3.3 Appointment of auditors

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MAR 7A.4 Requirements when providing direct electronic access

As Published: 2017

MAR 7A.4 Requirements when providing direct electronic access

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COBS 11.4 Client limit orders

As Published: 2007

COBS 11.4 Client limit orders

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MAR 5A.4 Trading process requirements

As Published: 2017

MAR 5A.4 Trading process requirements

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COBS 20.1 Application

As Published: 2007

COBS 20.1 Application

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EG 4.13 Preliminary findings letters and preliminary investigation reports

As Published: 2016

EG 4.13 Preliminary findings letters and preliminary investigation reports

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IPRU-INV 14 App 1 Interpretation

As Published: 2015

IPRU-INV 14 App 1 Interpretation

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PR 3.3 Advertisements

As Published: 2012

PR 3.3 Advertisements

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DTR 2.2 Disclosure of inside information

As Published: 2016

DTR 2.2 Disclosure of inside information

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TC App 5.1

As Published: 2010

TC App 5.1

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CASS 9.3 Prime brokerage agreement disclosure annex

As Published: 2010

CASS 9.3 Prime brokerage agreement disclosure annex

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PERG 8.24 Advising on investments

As Published: 2005

PERG 8.24 Advising on investments

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MIPRU 3.1 Application and purpose

As Published: 2006

MIPRU 3.1 Application and purpose

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PERG 14.5 The ‘by-way-of-business’ test

As Published: 2010

PERG 14.5 The ‘by-way-of-business’ test

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COBS 3.1 Application

As Published: 2007

COBS 3.1 Application

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EG 7.2 Alternatives to sanctions

As Published: 2015

EG 7.2 Alternatives to sanctions

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SUP 10A.12 Procedures relating to FCA-approved persons

As Published: 2014

SUP 10A.12 Procedures relating to FCA-approved persons

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FEES 5.2 Introduction

As Published: 2006

FEES 5.2 Introduction

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IFPRU 4.6 Internal ratings based approach: probability of default

As Published: 2014

IFPRU 4.6 Internal ratings based approach: probability of default

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