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

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

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SUP 11.5 Notifications by firms

As Published: 2004

SUP 11.5 Notifications by firms

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PERG 5.4 The business test

As Published: 2018

PERG 5.4 The business test

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SUP 10A.12 Procedures relating to FCA-approved persons

As Published: 2014

SUP 10A.12 Procedures relating to FCA-approved persons

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COND 2.5 Suitability

As Published: 2004

COND 2.5 Suitability

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LR 9.5 Transactions

As Published: 2007

LR 9.5 Transactions

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MCOB 9.3 Pre-application disclosure

As Published: 2004

MCOB 9.3 Pre-application disclosure

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RCB 2.2 Applying for registration

As Published: 2011

RCB 2.2 Applying for registration

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SYSC 2.2 Recording the apportionment

As Published: 2015

SYSC 2.2 Recording the apportionment

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MAR 9.2 Authorisation and verification

As Published: 2017

MAR 9.2 Authorisation and verification

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MAR 5A.11 Post-trade transparency requirements for non-equity instruments: form of deferral

As Published: 2017

MAR 5A.11 Post-trade transparency requirements for non-equity instruments: form of deferral

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COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

As Published: 2011

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

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DISP 3.2 Jurisdiction

As Published: 2007

DISP 3.2 Jurisdiction

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BIPRU 9.3 Requirements for originators and sponsors

As Published: 2010

BIPRU 9.3 Requirements for originators and sponsors

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BIPRU 9.4 Traditional securitisation

As Published: 2006

BIPRU 9.4 Traditional securitisation

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SYSC 1.4 Application of SYSC 11 to 28A

As Published: 2006

SYSC 1.4 Application of SYSC 11 to 28A

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SUP 10A.6 FCA governing functions

As Published: 2013

SUP 10A.6 FCA governing functions

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DISP App 3.11 Obligation to write letters to certain rejected complainants

As Published: 2017

DISP App 3.11 Obligation to write letters to certain rejected complainants

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MAR 5A.10 Pre-trade transparency requirements for non-equity instruments: form of waiver

As Published: 2017

MAR 5A.10 Pre-trade transparency requirements for non-equity instruments: form of waiver

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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

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