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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 6.5 General principles

As Published: 2005

PERG 6.5 General principles

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REC 4.2 The supervisory relationship with UK recognised bodies

As Published: 2007

REC 4.2 The supervisory relationship with UK recognised bodies

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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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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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EG 2.5 Cases where other authorities have an interest

As Published: 2016

EG 2.5 Cases where other authorities have an interest

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EG 3.10 Liaison where other authorities have an interest

As Published: 2016

EG 3.10 Liaison where other authorities have an interest

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PERG 16.5 How AIFMD affects other regulated activities

As Published: 2019

PERG 16.5 How AIFMD affects other regulated activities

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EG 19.8 Electronic Commerce Directive (Financial Services and Markets) Regulations 2002 [deleted]

As Published: 2016

EG 19.8 Electronic Commerce Directive (Financial Services and Markets) Regulations 2002 [deleted]

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PERG 4.9 Agreeing to carry on a regulated activity

As Published: 2005

PERG 4.9 Agreeing to carry on a regulated activity

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CREDS 3A.4 Insurance against fraud or other dishonesty

As Published: 2016

CREDS 3A.4 Insurance against fraud or other dishonesty

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DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

As Published: 2010

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

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RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

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TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

As Published: 2017

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

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EG 3.4 Investigations into general and specific concerns (sections 167 and 168)

As Published: 2016

EG 3.4 Investigations into general and specific concerns (sections 167 and 168)

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FEES 12.2 FOS ADR levy

As Published: 2015

FEES 12.2 FOS ADR levy

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PERG 6.2 Purpose of guidance

As Published: 2005

PERG 6.2 Purpose of guidance

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COLL 4.5 Reports and accounts

As Published: 2006

COLL 4.5 Reports and accounts

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DTR 1C.2 Modifying rules and consulting the FCA

As Published: 2018

DTR 1C.2 Modifying rules and consulting the FCA

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CONC 7.13 Data accuracy and outsourced activities

As Published: 2015

CONC 7.13 Data accuracy and outsourced activities

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COCON 3.1 General factors for assessing compliance

As Published: 2016

COCON 3.1 General factors for assessing compliance

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