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

CASS 11.2 Firm classification

As Published: 2014

CASS 11.2 Firm classification

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SYSC 4 Annex 1

As Published: 2015

SYSC 4 Annex 1

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COLL 6.6A Duties of AFMs in relation to UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes

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GEN 6.1 Payment of financial penalties

As Published: 2003

GEN 6.1 Payment of financial penalties

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SYSC 6.3 Financial crime

As Published: 2008

SYSC 6.3 Financial crime

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COLL 6.2 Dealing

As Published: 2005

COLL 6.2 Dealing

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EG 11.1 Restitution orders under sections 382, 383 and 384 of the Act: the FCA's general approach

As Published: 2016

EG 11.1 Restitution orders under sections 382, 383 and 384 of the Act: the FCA's general approach

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PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

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IPRU-INV 14.2 SCOPE OF CONSOLIDATION

As Published: 2019

IPRU-INV 14.2 SCOPE OF CONSOLIDATION

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EG App 2.1 Purpose, status and application of the guidelines

As Published: 2015

EG App 2.1 Purpose, status and application of the guidelines

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CONC 4.2 Pre-contract disclosure and adequate explanations

As Published: 2014

CONC 4.2 Pre-contract disclosure and adequate explanations

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REC 2.4A Management body

As Published: 2017

REC 2.4A Management body

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DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

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SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose

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COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

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MCOB 4.7A Advised sales

As Published: 2012

MCOB 4.7A Advised sales

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DTR 6.1 Information requirements for issuers of shares and debt securities

As Published: 2006

DTR 6.1 Information requirements for issuers of shares and debt securities

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MCOB 8.3 Application of rules in MCOB 4

As Published: 2004

MCOB 8.3 Application of rules in MCOB 4

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DISP App 1.5 Additional considerations

As Published: 2005

DISP App 1.5 Additional considerations

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EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

As Published: 2016

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

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