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

EG 19.34 Markets in Financial Instruments Regulations 2017

As Published: 2017

EG 19.34 Markets in Financial Instruments Regulations 2017

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MAR 9.2 Authorisation and verification

As Published: 2017

MAR 9.2 Authorisation and verification

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FEES 6.7 Payment of levies

As Published: 2008

FEES 6.7 Payment of levies

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SUP 6.2 Introduction

As Published: 2005

SUP 6.2 Introduction

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SUP 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets

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DEPP 3.2 The operation of the RDC

As Published: 2013

DEPP 3.2 The operation of the RDC

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SUP 16.10 Verification of firm details

As Published: 2004

SUP 16.10 Verification of firm details

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COLL 6.12 Risk management policy and risk measurement

As Published: 2011

COLL 6.12 Risk management policy and risk measurement

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SYSC 22.9 Records and transitionals

As Published: 2016

SYSC 22.9 Records and transitionals

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REC 2.9 Transaction recording

As Published: 2004

REC 2.9 Transaction recording

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COLL 12.4 UCITS product passport

As Published: 2013

COLL 12.4 UCITS product passport

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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

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FEES App 1.3 Application Fees

As Published: 2024

FEES App 1.3 Application Fees

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MAR 6.4 Systematic internaliser reporting requirement

As Published: 2017

MAR 6.4 Systematic internaliser reporting requirement

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CREDS 9.2 Reporting

As Published: 2012

CREDS 9.2 Reporting

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DTR 8.4 Continuing obligations

As Published: 2014

DTR 8.4 Continuing obligations

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DEPP 5.1 Settlement decision makers

As Published: 2007

DEPP 5.1 Settlement decision makers

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COLL 12.3 EEA UCITS management companies

As Published: 2013

COLL 12.3 EEA UCITS management companies

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SUP 8.5 Notification of altered circumstances relating to waivers

As Published: 2001

SUP 8.5 Notification of altered circumstances relating to waivers

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SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

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