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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 8.3 Applying for a waiver

As Published: 2002

SUP 8.3 Applying for a waiver

REC 3.19 Investigations

As Published: 2011

REC 3.19 Investigations

SYSC 19A.3 Remuneration principles for IFPRU investment firms

As Published: 2011

SYSC 19A.3 Remuneration principles for IFPRU investment firms

EG 19.31 The Small and Medium Sized Business (Credit Information) Regulations

As Published: 2016

EG 19.31 The Small and Medium Sized Business (Credit Information) Regulations

EG 19.33 The Small and Medium Sized Business (Finance Platforms) Regulations 2015

As Published: 2016

EG 19.33 The Small and Medium Sized Business (Finance Platforms) Regulations 2015

DTR 1B.1 Application and purpose (Corporate governance)

As Published: 2008

DTR 1B.1 Application and purpose (Corporate governance)

SUP 6.2 Introduction

As Published: 2005

SUP 6.2 Introduction

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

EG 3.3 Reports by skilled persons (section 166)

As Published: 2016

EG 3.3 Reports by skilled persons (section 166)

CASS 11.3 Responsibility for CASS operational oversight

As Published: 2015

CASS 11.3 Responsibility for CASS operational oversight

SUP 10C.10 Application for approval and withdrawing an application for approval

As Published: 2015

SUP 10C.10 Application for approval and withdrawing an application for approval

SUP 10A.7 FCA required functions

As Published: 2013

SUP 10A.7 FCA required functions

RCB 3.2 Annual confirmations of compliance and asset pool monitor

As Published: 2011

RCB 3.2 Annual confirmations of compliance and asset pool monitor

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

As Published: 2016

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

SUP 11.9 Changes in close links

As Published: 2004

SUP 11.9 Changes in close links

REC 3.12 Legal proceedings

As Published: 2013

REC 3.12 Legal proceedings

REC 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts

COLL 11.6 Winding up, merger and division of master UCITS

As Published: 2013

COLL 11.6 Winding up, merger and division of master UCITS

SUP 15.6 Inaccurate, false or misleading information

As Published: 2005

SUP 15.6 Inaccurate, false or misleading information