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

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

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DTR 1A.3 FCA may require the publication of information

As Published: 2012

DTR 1A.3 FCA may require the publication of information

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SUP 9.1 Application and purpose

As Published: 2001

SUP 9.1 Application and purpose

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EG 2.15 Decision making in the context of regulatory enforcement action

As Published: 2016

EG 2.15 Decision making in the context of regulatory enforcement action

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DISP 3.8 Dealing with information

As Published: 2004

DISP 3.8 Dealing with information

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PERG 6.5 General principles

As Published: 2005

PERG 6.5 General principles

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EG 10.1 Introduction

As Published: 2016

EG 10.1 Introduction

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SUP 8.8 Revoking waivers

As Published: 2001

SUP 8.8 Revoking waivers

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EG 7.5 Payment of financial penalties

As Published: 2016

EG 7.5 Payment of financial penalties

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PERG 4.4A Mortgage contracts entered into before 21 March 2016

As Published: 2015

PERG 4.4A Mortgage contracts entered into before 21 March 2016

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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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CONC 1.2 Who? What? Where?

As Published: 2014

CONC 1.2 Who? What? Where?

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COBS 2.1 Acting honestly, fairly and professionally

As Published: 2007

COBS 2.1 Acting honestly, fairly and professionally

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CASS 1A.1 Application

As Published: 2010

CASS 1A.1 Application

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REC 2.7A Position management and position reporting in relation to commodity derivatives

As Published: 2017

REC 2.7A Position management and position reporting in relation to commodity derivatives

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COBS 12.4 Investment recommendations

As Published: 2007

COBS 12.4 Investment recommendations

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SUP 16.11 Product Sales Data Reporting

As Published: 2004

SUP 16.11 Product Sales Data Reporting

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IFPRU 11.4 Information for resolution plans

As Published: 2019

IFPRU 11.4 Information for resolution plans

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MAR 5.6 Reporting requirements

As Published: 2007

MAR 5.6 Reporting requirements

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EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

As Published: 2016

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

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