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

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

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IPRU-INV 14.5 GROUP FINANCIAL RESOURCES REQUIREMENT

As Published: 2019

IPRU-INV 14.5 GROUP FINANCIAL RESOURCES REQUIREMENT

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CASS 5.6 Client money distribution

As Published: 2004

CASS 5.6 Client money distribution

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EG 9.2 The FCA’s general policy in this area

As Published: 2016

EG 9.2 The FCA’s general policy in this area

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SUP 8A.2 Introduction and conditions

As Published: 2014

SUP 8A.2 Introduction and conditions

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CASS 10.1 Application, purpose and general provisions

As Published: 2012

CASS 10.1 Application, purpose and general provisions

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EG 12.2 FCA cautions

As Published: 2015

EG 12.2 FCA cautions

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EG 15.3 Disqualification under section 345

As Published: 2016

EG 15.3 Disqualification under section 345

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EG 15.5 Removal of a disqualification

As Published: 2016

EG 15.5 Removal of a disqualification

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SUP 11.1 Application

As Published: 2001

SUP 11.1 Application

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PERG 9.1 Application and Purpose

As Published: 2007

PERG 9.1 Application and Purpose

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SUP 11.5 Notifications by firms

As Published: 2004

SUP 11.5 Notifications by firms

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CASS 7A.2 Primary pooling events

As Published: 2012

CASS 7A.2 Primary pooling events

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CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

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PERG 2.4 Link between activities and the United Kingdom

As Published: 2007

PERG 2.4 Link between activities and the United Kingdom

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REC 3.9 Fees and incentive schemes

As Published: 2013

REC 3.9 Fees and incentive schemes

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CASS 6.4 Use of safe custody assets

As Published: 2007

CASS 6.4 Use of safe custody assets

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FEES 13.1 Application and purpose

As Published: 2017

FEES 13.1 Application and purpose

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EG 2.11 Senior management responsibility

As Published: 2015

EG 2.11 Senior management responsibility

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MCOB 12.2 Purpose

As Published: 2006

MCOB 12.2 Purpose

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