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

REC 4.2C Control over a UK RIE

As Published: 2007

REC 4.2C Control over a UK RIE

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DTR 5.1 Notification of the acquisition or disposal of major shareholdings

As Published: 2006

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

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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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SYSC 12.1 Application

As Published: 2006

SYSC 12.1 Application

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COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

As Published: 2006

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

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REC 4.4 Complaints

As Published: 2011

REC 4.4 Complaints

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ICOBS 3.2 E-Commerce

As Published: 2013

ICOBS 3.2 E-Commerce

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EG 2.4 Case selection: Unauthorised business

As Published: 2016

EG 2.4 Case selection: Unauthorised business

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DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

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COND 1.3 General

As Published: 2013

COND 1.3 General

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MAR 10.3 Position management controls

As Published: 2017

MAR 10.3 Position management controls

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IFPRU 8.1 Prudential consolidation

As Published: 2019

IFPRU 8.1 Prudential consolidation

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SUP 8.3 Applying for a waiver

As Published: 2002

SUP 8.3 Applying for a waiver

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LR 9.6 Notifications

As Published: 2006

LR 9.6 Notifications

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CASS 7.19 Clearing member client money sub-pools

As Published: 2014

CASS 7.19 Clearing member client money sub-pools

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SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

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REC 6.6 Supervision

As Published: 2013

REC 6.6 Supervision

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REC 4.9 Disciplinary measures

As Published: 2013

REC 4.9 Disciplinary measures

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DISP App 3.1 Introduction

As Published: 2010

DISP App 3.1 Introduction

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DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

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