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

COBS 9.3 Guidance on assessing suitability

As Published: 2013

COBS 9.3 Guidance on assessing suitability

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DTR 2.2 Disclosure of inside information

As Published: 2016

DTR 2.2 Disclosure of inside information

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TC App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3

As Published: 2007

TC App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3

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RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

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DTR 4.2 Half-yearly financial reports

As Published: 2015

DTR 4.2 Half-yearly financial reports

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MCOB 2A.3 Foreign currency loans

As Published: 2019

MCOB 2A.3 Foreign currency loans

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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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GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

As Published: 2008

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

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REC 2.3 Financial resources

As Published: 2004

REC 2.3 Financial resources

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BIPRU 12.2 Adequacy of liquidity resources

As Published: 2019

BIPRU 12.2 Adequacy of liquidity resources

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MCOB 12.1 Application

As Published: 2006

MCOB 12.1 Application

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PERG 12.3 Rights under a personal pension scheme

As Published: 2006

PERG 12.3 Rights under a personal pension scheme

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PERG 8.18 Financial promotions concerning the Lloyd’s market

As Published: 2007

PERG 8.18 Financial promotions concerning the Lloyd’s market

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SUP 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets

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APER 4.2 Statement of Principle 2

As Published: 2005

APER 4.2 Statement of Principle 2

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IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A PERSONAL INVESTMENT FIRM

As Published: 2015

IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A PERSONAL INVESTMENT FIRM

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DTR 5.1 Notification of the acquisition or disposal of major shareholdings

As Published: 2006

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

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CONC 2.10 Mental capacity guidance

As Published: 2014

CONC 2.10 Mental capacity guidance

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ICOBS 4.1 General requirements for insurance intermediaries and insurers

As Published: 2007

ICOBS 4.1 General requirements for insurance intermediaries and insurers

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LR 8.3 Role of a sponsor: general

As Published: 2008

LR 8.3 Role of a sponsor: general

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