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

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

As Published: 2010

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

LR 13.2 Approval of circulars

As Published: 2010

LR 13.2 Approval of circulars

EG 12.3 Criminal prosecutions in cases of market abuse

As Published: 2016

EG 12.3 Criminal prosecutions in cases of market abuse

EG 4.13 Preliminary findings letters and preliminary investigation reports

As Published: 2016

EG 4.13 Preliminary findings letters and preliminary investigation reports

COBS 9.1 Application and purpose provisions

As Published: 2007

COBS 9.1 Application and purpose provisions

DISP App 3.7A Approach to redress at step 2

As Published: 2017

DISP App 3.7A Approach to redress at step 2

COBS 6.2A Describing advice services [deleted]

As Published: 2010

COBS 6.2A Describing advice services [deleted]

MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

As Published: 2007

MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

COBS 9.2 Assessing suitability

As Published: 2007

COBS 9.2 Assessing suitability

DEPP 6.6 Financial penalties for late and incomplete submission of reports

As Published: 2010

DEPP 6.6 Financial penalties for late and incomplete submission of reports

DISP App 3.7 Approach to redress at step 1

As Published: 2011

DISP App 3.7 Approach to redress at step 1

BIPRU 4.5 The IRB approach: Specialised lending exposures

As Published: 2007

BIPRU 4.5 The IRB approach: Specialised lending exposures

COBS 14.2 Providing product information to clients

As Published: 2007

COBS 14.2 Providing product information to clients

COBS 9.6 Special rules for giving basic advice on a stakeholder product

As Published: 2007

COBS 9.6 Special rules for giving basic advice on a stakeholder product

COBS 18.2 Energy market activity and oil market activity

As Published: 2007

COBS 18.2 Energy market activity and oil market activity

CASS 11.9 Segregation and the operation of client money accounts

As Published: 2014

CASS 11.9 Segregation and the operation of client money accounts

COBS 4.10 Approving and confirming compliance of financial promotions

As Published: 2015

COBS 4.10 Approving and confirming compliance of financial promotions

COBS 18.11 Authorised professional firms

As Published: 2007

COBS 18.11 Authorised professional firms

COBS 4.2 Fair, clear and not misleading communications

As Published: 2007

COBS 4.2 Fair, clear and not misleading communications

LR 8.2 When a sponsor must be appointed or its guidance obtained

As Published: 2007

LR 8.2 When a sponsor must be appointed or its guidance obtained