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Section Provision

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

COBS 12.1 Purpose and application

As Published: 2007

COBS 12.1 Purpose and application

…

COBS 9.5 Record keeping and retention periods for suitability records

As Published: 2007

COBS 9.5 Record keeping and retention periods for suitability records

…

COBS 3.8 Policies, procedures and records

As Published: 2007

COBS 3.8 Policies, procedures and records

…

COBS 10.3 Warning the client

As Published: 2007

COBS 10.3 Warning the client

…

COLL 11.6 Winding up, merger and division of master UCITS

As Published: 2011

COLL 11.6 Winding up, merger and division of master UCITS

…

CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

…

COBS 4.11 Record keeping: financial promotion

As Published: 2007

COBS 4.11 Record keeping: financial promotion

…

COBS 10.4 Assessing appropriateness: when it need not be done

As Published: 2007

COBS 10.4 Assessing appropriateness: when it need not be done

…

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

…

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

…

LR 14.3 Continuing obligations

As Published: 2006

LR 14.3 Continuing obligations

…

SUP 18.3 Insurance business transfers outside the United Kingdom

As Published: 2001

SUP 18.3 Insurance business transfers outside the United Kingdom

…

PERG 12.2 Establishing, operating or winding up a personal pension scheme

As Published: 2006

PERG 12.2 Establishing, operating or winding up a personal pension scheme

…

PERG 4.14 Mortgage activities carried on by professional firms

As Published: 2005

PERG 4.14 Mortgage activities carried on by professional firms

…

SUP 11.4 Requirements on firms

As Published: 2004

SUP 11.4 Requirements on firms

…

TC 2.1 Assessing and maintaining competence

As Published: 2002

TC 2.1 Assessing and maintaining competence

…

REC 2.7 Access to facilities

As Published: 2004

REC 2.7 Access to facilities

…

SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

…

SUP 11.5 Notifications by firms

As Published: 2004

SUP 11.5 Notifications by firms

…

MIPRU 4.2 Capital resources requirements

As Published: 2006

MIPRU 4.2 Capital resources requirements

…

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