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

PERG 9.3 The definition

As Published: 2005

PERG 9.3 The definition

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IFPRU 8.1 Prudential consolidation

As Published: 2019

IFPRU 8.1 Prudential consolidation

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RCB 4.2 Enforcement powers and penalties

As Published: 2010

RCB 4.2 Enforcement powers and penalties

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SUP 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets

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COND 1.2 Purpose

As Published: 2007

COND 1.2 Purpose

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BIPRU 12.2 Adequacy of liquidity resources

As Published: 2019

BIPRU 12.2 Adequacy of liquidity resources

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LR 13.5 Financial information in Class 1 Circulars

As Published: 2007

LR 13.5 Financial information in Class 1 Circulars

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PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

As Published: 2005

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

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DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

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PERG 5.11 Other aspects of exclusions

As Published: 2006

PERG 5.11 Other aspects of exclusions

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DEPP 6.5D Serious financial hardship

As Published: 2010

DEPP 6.5D Serious financial hardship

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REC 6.3 Recognition requirements

As Published: 2004

REC 6.3 Recognition requirements

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COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

As Published: 2006

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

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FEES 1.1 Application and Purpose

As Published: 2005

FEES 1.1 Application and Purpose

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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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REC 4.6 The section 296 power to give directions

As Published: 2007

REC 4.6 The section 296 power to give directions

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REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

As Published: 2007

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

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EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

As Published: 2016

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

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SUP 5.4 Appointment and reporting process

As Published: 2016

SUP 5.4 Appointment and reporting process

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EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

As Published: 2015

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

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