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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 11.3 Responsibility for CASS operational oversight

As Published: 2015

CASS 11.3 Responsibility for CASS operational oversight

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

SUP 13A.3 Qualifications for authorisation under the Act

As Published: 2007

SUP 13A.3 Qualifications for authorisation under the Act

EG 9.2 The FCA’s general policy in this area

As Published: 2016

EG 9.2 The FCA’s general policy in this area

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

SUP 12.7 Notification requirements

As Published: 2002

SUP 12.7 Notification requirements

SUP 18.4 Friendly Society transfers and amalgamations

As Published: 2019

SUP 18.4 Friendly Society transfers and amalgamations

SUP 13A.6 Which rules will an incoming EEA firm be subject to?

As Published: 2007

SUP 13A.6 Which rules will an incoming EEA firm be subject to?

EG 16.2 Disapplication orders

As Published: 2016

EG 16.2 Disapplication orders

SUP 10C.8 The other local responsibility function (SMF22)

As Published: 2015

SUP 10C.8 The other local responsibility function (SMF22)

DEPP 1.1 Application and Purpose

As Published: 2007

DEPP 1.1 Application and Purpose

COLL 11.2 Approval of a feeder UCITS

As Published: 2014

COLL 11.2 Approval of a feeder UCITS

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

SUP 10A.13 Application for approval and withdrawing an application for approval

As Published: 2015

SUP 10A.13 Application for approval and withdrawing an application for approval

COLL 6.12 Risk management policy and risk measurement

As Published: 2011

COLL 6.12 Risk management policy and risk measurement

PERG 7.6 Applications for a certificate

As Published: 2007

PERG 7.6 Applications for a certificate

COND 1.2 Purpose

As Published: 2007

COND 1.2 Purpose

FIT 1.2 Introduction

As Published: 2007

FIT 1.2 Introduction

SYSC 4.2 Persons who effectively direct the business

As Published: 2008

SYSC 4.2 Persons who effectively direct the business

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?