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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 16.6 Compliance reports

As Published: 2001

SUP 16.6 Compliance reports

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MAR 9.5 Frequently Asked Questions

As Published: 2017

MAR 9.5 Frequently Asked Questions

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CREDS 1.1 Application and purpose

As Published: 2011

CREDS 1.1 Application and purpose

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CASS 11.4 Definition of client money and the discharge of fiduciary duty

As Published: 2014

CASS 11.4 Definition of client money and the discharge of fiduciary duty

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CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators

As Published: 2018

CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators

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BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

As Published: 2012

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

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SUP 3.8 Rights and duties of auditors

As Published: 2004

SUP 3.8 Rights and duties of auditors

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REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

As Published: 2006

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

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SUP 8.3 Applying for a waiver

As Published: 2002

SUP 8.3 Applying for a waiver

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REC 3.6 Constitution and governance

As Published: 2013

REC 3.6 Constitution and governance

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DISP 3.7 Awards by the Ombudsman

As Published: 2008

DISP 3.7 Awards by the Ombudsman

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BIPRU 5.9 Combinations of credit risk mitigation in the standardised approach

As Published: 2007

BIPRU 5.9 Combinations of credit risk mitigation in the standardised approach

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SYSC 22.5 Giving references: additional rules and guidance for all firms

As Published: 2016

SYSC 22.5 Giving references: additional rules and guidance for all firms

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MAR 1.6 Manipulating transactions

As Published: 2005

MAR 1.6 Manipulating transactions

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EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

As Published: 2016

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

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PERG 8.35 Authorisation and exemption

As Published: 2007

PERG 8.35 Authorisation and exemption

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PERG 3A.6 Territorial scope

As Published: 2019

PERG 3A.6 Territorial scope

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CASS 12.1 Application

As Published: 2014

CASS 12.1 Application

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PERG 7.7 Post-certification issues

As Published: 2005

PERG 7.7 Post-certification issues

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EG 7.5 Payment of financial penalties

As Published: 2016

EG 7.5 Payment of financial penalties

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