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

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

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DTR 1.4 Suspension of trading

As Published: 2007

DTR 1.4 Suspension of trading

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SUP 5.2 The FCA’s power

As Published: 2016

SUP 5.2 The FCA’s power

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COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

As Published: 2013

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

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SUP 2.1 Application and purpose

As Published: 2003

SUP 2.1 Application and purpose

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CONC 6.6 Pawn broking: conduct of business

As Published: 2014

CONC 6.6 Pawn broking: conduct of business

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EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)

As Published: 2016

EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)

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REC 4.2B Exercise of passport rights by a UK RIE [deleted]

As Published: 2007

REC 4.2B Exercise of passport rights by a UK RIE [deleted]

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CASS 11.12 CASS 11 resolution pack

As Published: 2014

CASS 11.12 CASS 11 resolution pack

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CONC App 1.4 Exemption for high net worth borrowers and hirers and exemption relating to businesses

As Published: 2014

CONC App 1.4 Exemption for high net worth borrowers and hirers and exemption relating to businesses

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SUP 10C.1 Application

As Published: 2015

SUP 10C.1 Application

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REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

As Published: 2007

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

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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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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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REC 2.2 Method of satisfying the recognition requirements

As Published: 2004

REC 2.2 Method of satisfying the recognition requirements

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SUP 10A.7 FCA required functions

As Published: 2013

SUP 10A.7 FCA required functions

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DEPP 6.5D Serious financial hardship

As Published: 2010

DEPP 6.5D Serious financial hardship

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COLL 8.3 Investor relations

As Published: 2006

COLL 8.3 Investor relations

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SYSC 10.2 Chinese walls

As Published: 2007

SYSC 10.2 Chinese walls

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COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

As Published: 2007

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

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