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

COCON 1.2 Investments

As Published: 2015

COCON 1.2 Investments

SYSC 10.1 Application

As Published: 2006

SYSC 10.1 Application

CASS 7.12 Organisational requirements: client money

As Published: 2017

CASS 7.12 Organisational requirements: client money

PERG 13.4 Financial instruments

As Published: 2007

PERG 13.4 Financial instruments

SUP 16.9 Appointed representatives annual report

As Published: 2002

SUP 16.9 Appointed representatives annual report

SUP 16.20 Submission of recovery plans and information for resolution plans [deleted]

As Published: 2015

SUP 16.20 Submission of recovery plans and information for resolution plans [deleted]

COLL 5.4 Stock lending

As Published: 2007

COLL 5.4 Stock lending

CONC App 1.4 Exemption for high net worth borrowers and hirers and exemption relating to businesses

As Published: 2014

CONC App 1.4 Exemption for high net worth borrowers and hirers and exemption relating to businesses

COLL 7.6 Schemes of arrangement

As Published: 2011

COLL 7.6 Schemes of arrangement

DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

SUP 3.2 Purpose

As Published: 2001

SUP 3.2 Purpose

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

As Published: 2016

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

LR 9.4 Documents requiring prior approval

As Published: 2021

LR 9.4 Documents requiring prior approval

DEPP 6.2 Deciding whether to take action

As Published: 2007

DEPP 6.2 Deciding whether to take action

APER 4.2 Statement of Principle 2

As Published: 2005

APER 4.2 Statement of Principle 2

COLL 5.8 Investment powers and borrowing limits for feeder UCITS

As Published: 2011

COLL 5.8 Investment powers and borrowing limits for feeder UCITS

IPRU-INV 9 App 1 Interpretation

As Published: 2015

IPRU-INV 9 App 1 Interpretation

IPRU-INV 5.9 Liquid Capital Requirement for firms whose permitted business includes establishing, operating or winding up a personal pension scheme

As Published: 2016

IPRU-INV 5.9 Liquid Capital Requirement for firms whose permitted business includes establishing, operating or winding up a personal pension scheme

PERG 9.11 Frequently Asked Questions

As Published: 2005

PERG 9.11 Frequently Asked Questions