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

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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SUP 11.4 Requirements on firms

As Published: 2004

SUP 11.4 Requirements on firms

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SYSC 19B.1 Application

As Published: 2013

SYSC 19B.1 Application

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MAR 7A.4 Requirements when providing direct electronic access

As Published: 2017

MAR 7A.4 Requirements when providing direct electronic access

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PERG 15.5 Negative scope/exclusions

As Published: 2015

PERG 15.5 Negative scope/exclusions

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PERG 16.6 Exclusions

As Published: 2019

PERG 16.6 Exclusions

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PERG 2.10 Persons carrying on regulated activities who do not need authorisation

As Published: 2006

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

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CONC 3.1 Application

As Published: 2014

CONC 3.1 Application

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PERG 9.1 Application and Purpose

As Published: 2007

PERG 9.1 Application and Purpose

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MAR 1.3 Insider dealing

As Published: 2005

MAR 1.3 Insider dealing

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GEN 4.1 Application

As Published: 2003

GEN 4.1 Application

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EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

As Published: 2016

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

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PRIN 3.4 General

As Published: 2004

PRIN 3.4 General

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SUP 10C.4 Specification of functions

As Published: 2015

SUP 10C.4 Specification of functions

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SUP App 2.14A Fairness issues for with-profit firms in difficulty or in an irregular situation

As Published: 2015

SUP App 2.14A Fairness issues for with-profit firms in difficulty or in an irregular situation

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MAR 6.2 Purpose

As Published: 2017

MAR 6.2 Purpose

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IPRU-INV 12.4 NOTIFICATION REQUIREMENTS

As Published: 2017

IPRU-INV 12.4 NOTIFICATION REQUIREMENTS

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REC 2.11 Custody

As Published: 2004

REC 2.11 Custody

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DISP App 1.2 The standard approach to redress

As Published: 2008

DISP App 1.2 The standard approach to redress

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IPRU-INV 5.17 Other assets requirement

As Published: 2016

IPRU-INV 5.17 Other assets requirement

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