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

PERG 15.2 General

As Published: 2011

PERG 15.2 General

COBS 11.5 Record keeping: client orders and transactions [deleted]

As Published: 2017

COBS 11.5 Record keeping: client orders and transactions [deleted]

EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974

As Published: 2016

EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974

MAR 6.4 Systematic internaliser reporting requirement

As Published: 2017

MAR 6.4 Systematic internaliser reporting requirement

COCON 3.1 General factors for assessing compliance

As Published: 2016

COCON 3.1 General factors for assessing compliance

SUP 8.4 Reliance on waivers

As Published: 2001

SUP 8.4 Reliance on waivers

COBS 19.4 Open market options

As Published: 2010

COBS 19.4 Open market options

MAR 6.2 Purpose

As Published: 2017

MAR 6.2 Purpose

SUP 3.5 Auditors' independence

As Published: 2008

SUP 3.5 Auditors' independence

PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

COBS 16.6 Communications to clients – life insurance, long term care insurance and drawdown pensions

As Published: 2007

COBS 16.6 Communications to clients – life insurance, long term care insurance and drawdown pensions

CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank

As Published: 2014

CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank

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

PERG 10.4A The application of requirements which implemented EU directives

As Published: 2006

PERG 10.4A The application of requirements which implemented EU directives

REC 1.2 Purpose, status and quotations, notes or references

As Published: 2004

REC 1.2 Purpose, status and quotations, notes or references

LR 13.8 Other circulars

As Published: 2007

LR 13.8 Other circulars

PERG 7.3 Does the activity require authorisation?

As Published: 2006

PERG 7.3 Does the activity require authorisation?

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?

SYSC 6.2 Internal audit

As Published: 2007

SYSC 6.2 Internal audit

APER 2.1A The Statements of Principle

As Published: 2015

APER 2.1A The Statements of Principle