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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?

CONC 7.11 Disclosures relating to “authority” or “status”

As Published: 2014

CONC 7.11 Disclosures relating to “authority” or “status”

DISP App 1.4 Policy reconstruction

As Published: 2008

DISP App 1.4 Policy reconstruction

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

SUP 15.9 Notifications by members of financial conglomerates

As Published: 2004

SUP 15.9 Notifications by members of financial conglomerates

PERG 2.3 The business element

As Published: 2006

PERG 2.3 The business element

DEPP 7.2 Interviews

As Published: 2009

DEPP 7.2 Interviews

PERG 12.1 Background

As Published: 2006

PERG 12.1 Background

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

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

As Published: 2012

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

SUP 10C.3 General material about the definition of controlled functions

As Published: 2015

SUP 10C.3 General material about the definition of controlled functions

FEES 5.7 Payment

As Published: 2009

FEES 5.7 Payment

COLL 9.1 Application and general information

As Published: 2004

COLL 9.1 Application and general information

MAR 1.2 Market Abuse: general

As Published: 2002

MAR 1.2 Market Abuse: general

REC 2.16B Operation of a data reporting service

As Published: 2017

REC 2.16B Operation of a data reporting service

DISP 3.8 Dealing with information

As Published: 2004

DISP 3.8 Dealing with information

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]

As Published: 2016

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]

CASS 5.8 Safe keeping of client's documents and other assets

As Published: 2010

CASS 5.8 Safe keeping of client's documents and other assets

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

As Published: 2001

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

DTR 1.1 Application and purpose (Disclosure guidance)

As Published: 2005

DTR 1.1 Application and purpose (Disclosure guidance)