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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 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

As Published: 2016

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

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SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

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REC 2.1 Introduction

As Published: 2005

REC 2.1 Introduction

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IPRU-INV 4.4 FINANCIAL RESOURCE REQUIREMENTS

As Published: 2015

IPRU-INV 4.4 FINANCIAL RESOURCE REQUIREMENTS

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EG 7.6 Private warnings

As Published: 2015

EG 7.6 Private warnings

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FEES 4.4 Information on which fees are calculated

As Published: 2007

FEES 4.4 Information on which fees are calculated

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DISP 2.3 To which activities does the Compulsory Jurisdiction apply?

As Published: 2003

DISP 2.3 To which activities does the Compulsory Jurisdiction apply?

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COLL 12.2 UK UCITS management companies

As Published: 2016

COLL 12.2 UK UCITS management companies

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SUP 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

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EG 19.11 Financial Services (Distance Marketing) Regulations 2004

As Published: 2016

EG 19.11 Financial Services (Distance Marketing) Regulations 2004

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MAR 1.1 Application and interpretation

As Published: 2002

MAR 1.1 Application and interpretation

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SYSC 12.1 Application

As Published: 2006

SYSC 12.1 Application

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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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PRIN 3.4 General

As Published: 2004

PRIN 3.4 General

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FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

As Published: 2012

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

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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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MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

As Published: 2007

MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

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COCON 2.1 Individual conduct rules

As Published: 2015

COCON 2.1 Individual conduct rules

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EG App 3.6 COPFS

As Published: 2016

EG App 3.6 COPFS

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EG 19.9 Electronic commerce activity directions: the FCA’s policy [deleted]

As Published: 2016

EG 19.9 Electronic commerce activity directions: the FCA’s policy [deleted]

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