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

BIPRU 1.3 Applications for advanced approaches and waivers

As Published: 2006

BIPRU 1.3 Applications for advanced approaches and waivers

CASS 7.19 Clearing member client money sub-pools

As Published: 2014

CASS 7.19 Clearing member client money sub-pools

LR App 1.1 Relevant definitions

As Published: 2005

LR App 1.1 Relevant definitions

SUP 16.11 Product Sales Data Reporting

As Published: 2004

SUP 16.11 Product Sales Data Reporting

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

As Published: 2007

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

COND 2.3 Effective supervision

As Published: 2004

COND 2.3 Effective supervision

PERG 8.21 Company statements, announcements and briefings

As Published: 2005

PERG 8.21 Company statements, announcements and briefings

IFPRU 4.6 Internal ratings based approach: probability of default

As Published: 2019

IFPRU 4.6 Internal ratings based approach: probability of default

SYSC 5.1 Skills, knowledge and expertise

As Published: 2006

SYSC 5.1 Skills, knowledge and expertise

BIPRU 4.1 The IRB approach: Application, purpose and overview

As Published: 2006

BIPRU 4.1 The IRB approach: Application, purpose and overview

MAR 8.3 Requirements for benchmark administrators [deleted]

As Published: 2015

MAR 8.3 Requirements for benchmark administrators [deleted]

SYSC 19D.1 Application and purpose

As Published: 2015

SYSC 19D.1 Application and purpose

SUP 10A.10 Customer-dealing functions

As Published: 2014

SUP 10A.10 Customer-dealing functions

SYSC 18.3 Internal arrangements

As Published: 2015

SYSC 18.3 Internal arrangements

BIPRU 8.3 Scope and basic consolidation requirements for non-UK sub-groups

As Published: 2006

BIPRU 8.3 Scope and basic consolidation requirements for non-UK sub-groups

COND 1.3 General

As Published: 2013

COND 1.3 General

IFPRU 4.7 Internal ratings based approach: loss given default

As Published: 2014

IFPRU 4.7 Internal ratings based approach: loss given default

LR 13.5 Financial information in Class 1 Circulars

As Published: 2007

LR 13.5 Financial information in Class 1 Circulars

SYSC 2.1 Apportionment of Responsibilities

As Published: 2002

SYSC 2.1 Apportionment of Responsibilities

ICOBS 8.4 Employers’ Liability Insurance

As Published: 2011

ICOBS 8.4 Employers’ Liability Insurance

IPRU-INV 1.2 APPLICATION

As Published: 2015

IPRU-INV 1.2 APPLICATION

BIPRU 9.1 Application and purpose

As Published: 2006

BIPRU 9.1 Application and purpose

PERG 4.4 What is a regulated mortgage contract?

As Published: 2005

PERG 4.4 What is a regulated mortgage contract?

BIPRU 9.5 Synthetic securitisation

As Published: 2010

BIPRU 9.5 Synthetic securitisation

CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank

As Published: 2014

CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank

IPRU-INV 5.4 Financial resources requirement

As Published: 2016

IPRU-INV 5.4 Financial resources requirement

IFPRU 4.8 Internal ratings based approach: own estimates of exposure at default (EAD)

As Published: 2014

IFPRU 4.8 Internal ratings based approach: own estimates of exposure at default (EAD)

PRIN 1.2 Clients and the Principles

As Published: 2004

PRIN 1.2 Clients and the Principles

IFPRU 11.3 Group recovery plans

As Published: 2016

IFPRU 11.3 Group recovery plans

DISP 1.10 Complaints reporting rules

As Published: 2007

DISP 1.10 Complaints reporting rules

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

As Published: 2005

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

MCOB 1.2 General application: who? what?

As Published: 2005

MCOB 1.2 General application: who? what?

BIPRU 5.7 Unfunded credit protection

As Published: 2010

BIPRU 5.7 Unfunded credit protection

DEPP 6.2 Deciding whether to take action

As Published: 2007

DEPP 6.2 Deciding whether to take action

SUP 10C.10 Application for approval and withdrawing an application for approval

As Published: 2015

SUP 10C.10 Application for approval and withdrawing an application for approval

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

REC 6.7 Notification rules for overseas recognised bodies

As Published: 2013

REC 6.7 Notification rules for overseas recognised bodies

PERG 2.3 The business element

As Published: 2006

PERG 2.3 The business element

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

BIPRU 7.11 Credit derivatives in the trading book

As Published: 2007

BIPRU 7.11 Credit derivatives in the trading book

PERG 4.5 Arranging regulated mortgage contracts

As Published: 2013

PERG 4.5 Arranging regulated mortgage contracts

CONC 7.6 Exercise of continuous payment authority

As Published: 2014

CONC 7.6 Exercise of continuous payment authority

FEES 1.1 Application and Purpose

As Published: 2005

FEES 1.1 Application and Purpose

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

As Published: 2010

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

COLL 4.2 Pre-sale notifications

As Published: 2006

COLL 4.2 Pre-sale notifications

PERG 15.7 Transitional provisions [deleted]

As Published: 2018

PERG 15.7 Transitional provisions [deleted]

REC 2.7 Access to facilities

As Published: 2004

REC 2.7 Access to facilities

IPRU-INV 11.6 ADDITIONAL REQUIREMENTS FOR COLLECTIVE PORTFOLIO MANAGEMENT INVESTMENT FIRMS

As Published: 2019

IPRU-INV 11.6 ADDITIONAL REQUIREMENTS FOR COLLECTIVE PORTFOLIO MANAGEMENT INVESTMENT FIRMS

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

SYSC 8.1 General outsourcing requirements

As Published: 2006

SYSC 8.1 General outsourcing requirements

SUP App 2.15 Run-off plans for closed with-profits funds

As Published: 2005

SUP App 2.15 Run-off plans for closed with-profits funds

MCOB 11.6 Responsible lending and financing

As Published: 2012

MCOB 11.6 Responsible lending and financing

SUP 10C.14 Changes to an FCA-approved person’s details

As Published: 2015

SUP 10C.14 Changes to an FCA-approved person’s details

COLL 7.7 UCITS mergers

As Published: 2011

COLL 7.7 UCITS mergers

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?

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

As Published: 2007

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

IPRU-INV 2.1 APPLICATION

As Published: 2019

IPRU-INV 2.1 APPLICATION

CASS 11.3 Responsibility for CASS operational oversight

As Published: 2015

CASS 11.3 Responsibility for CASS operational oversight

PERG 13.2 General

As Published: 2011

PERG 13.2 General

IFPRU 11.5 Intra-group financial support

As Published: 2016

IFPRU 11.5 Intra-group financial support

CASS 7.15 Records, accounts and reconciliations

As Published: 2014

CASS 7.15 Records, accounts and reconciliations

BIPRU 5.6 Master netting agreements

As Published: 2006

BIPRU 5.6 Master netting agreements

IFPRU 4.4 Internal ratings based approach: overall requirements for estimation

As Published: 2019

IFPRU 4.4 Internal ratings based approach: overall requirements for estimation

IFPRU 6.3 Expectations relating to internal models

As Published: 2019

IFPRU 6.3 Expectations relating to internal models

MCOB 3A.1 Application and purpose

As Published: 2015

MCOB 3A.1 Application and purpose

CONC 4.3 Pre-contractual requirements and adequate explanations: P2P agreements

As Published: 2015

CONC 4.3 Pre-contractual requirements and adequate explanations: P2P agreements

MIPRU 4.1 Application and purpose

As Published: 2006

MIPRU 4.1 Application and purpose

CONC 4.2 Pre-contract disclosure and adequate explanations

As Published: 2014

CONC 4.2 Pre-contract disclosure and adequate explanations

BIPRU 9.11 Calculation of risk weighted exposure amounts under the standardised approach to securitisations

As Published: 2010

BIPRU 9.11 Calculation of risk weighted exposure amounts under the standardised approach to securitisations

CASS 11.1 Application

As Published: 2014

CASS 11.1 Application

FEES 6.3 The FSCS's power to impose levies

As Published: 2006

FEES 6.3 The FSCS's power to impose levies

SYSC 19A.1 General application and purpose

As Published: 2010

SYSC 19A.1 General application and purpose

SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

As Published: 2002

SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

LR 8.6 Criteria for approval as a sponsor

As Published: 2005

LR 8.6 Criteria for approval as a sponsor

SUP 4.3 Appointment of actuaries

As Published: 2004

SUP 4.3 Appointment of actuaries

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

SYSC 4.3A Management body and nomination committee

As Published: 2014

SYSC 4.3A Management body and nomination committee