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MiFID (122)
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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 7.1 Application

As Published: 2007

COBS 7.1 Application

…

COBS 14.1 Interpretation

As Published: 2007

COBS 14.1 Interpretation

…

COBS 16.5 Quotations for surrender values

As Published: 2007

COBS 16.5 Quotations for surrender values

…

COBS 15.1 Application

As Published: 2007

COBS 15.1 Application

…

TC 3.1 Record-keeping requirements

As Published: 2007

TC 3.1 Record-keeping requirements

…

REC 2.5 Systems and controls and conflicts

As Published: 2004

REC 2.5 Systems and controls and conflicts

…

LR 13.5 Financial information in Class 1 Circulars

As Published: 2007

LR 13.5 Financial information in Class 1 Circulars

…

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

As Published: 2006

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

…

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

As Published: 2006

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

…

COLL 6.1 Introduction and Application

As Published: 2006

COLL 6.1 Introduction and Application

…

SYSC 13.9 Outsourcing

As Published: 2006

SYSC 13.9 Outsourcing

…

COLL 6.2 Dealing

As Published: 2005

COLL 6.2 Dealing

…

SYSC 6.1 Compliance

As Published: 2006

SYSC 6.1 Compliance

…

CREDS 7.2 General requirements concerning lending policy

As Published: 2012

CREDS 7.2 General requirements concerning lending policy

…

LR 15.2 Requirements for listing

As Published: 2007

LR 15.2 Requirements for listing

…

LR 15.4 Continuing obligations

As Published: 2007

LR 15.4 Continuing obligations

…

ICOBS 2.1 Client categorisation

As Published: 2007

ICOBS 2.1 Client categorisation

…

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

As Published: 2004

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

…

CASS 9.3 Prime brokerage agreement disclosure annex

As Published: 2010

CASS 9.3 Prime brokerage agreement disclosure annex

…

PERG 13.7 The territorial application of MiFID

As Published: 2007

PERG 13.7 The territorial application of MiFID

…

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