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

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)

COLL 8.3 Investor relations

As Published: 2006

COLL 8.3 Investor relations

PERG 5.13 Appointed representatives

As Published: 2014

PERG 5.13 Appointed representatives

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

As Published: 2017

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

SUP 8.3 Applying for a waiver

As Published: 2002

SUP 8.3 Applying for a waiver

LR 15.4 Continuing obligations

As Published: 2007

LR 15.4 Continuing obligations

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

As Published: 2016

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

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?

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

As Published: 2015

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

SUP 8.6 Publication of waivers

As Published: 2004

SUP 8.6 Publication of waivers

PERG 8.32 Arranging deals in investments

As Published: 2017

PERG 8.32 Arranging deals in investments

PERG 8.21 Company statements, announcements and briefings

As Published: 2005

PERG 8.21 Company statements, announcements and briefings

SYSC 19C.2 General requirement

As Published: 2014

SYSC 19C.2 General requirement

SYSC 13.7 Processes and systems

As Published: 2007

SYSC 13.7 Processes and systems

APER 4.5 Statement of Principle 5

As Published: 2008

APER 4.5 Statement of Principle 5

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

As Published: 2013

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

SYSC 13.6 People

As Published: 2007

SYSC 13.6 People

REC 2.15 Discipline

As Published: 2004

REC 2.15 Discipline

TC 1.1 Who, what and where?

As Published: 2002

TC 1.1 Who, what and where?

SUP 12.7 Notification requirements

As Published: 2002

SUP 12.7 Notification requirements