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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).

SUP 9.3 Giving individual guidance to a firm on the FSA's own initiative

As Published: 2004

SUP 9.3 Giving individual guidance to a firm on the FSA's own initiative

…

SUP 2.4 'Mystery shopping'

As Published: 2005

SUP 2.4 'Mystery shopping'

…

DEPP 6.6 Financial penalties for late and incomplete submission of reports

As Published: 2010

DEPP 6.6 Financial penalties for late and incomplete submission of reports

…

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

As Published: 2010

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

…

REC 3.6 Constitution and governance

As Published: 2001

REC 3.6 Constitution and governance

…

SUP 13.11 Record keeping

As Published: 2007

SUP 13.11 Record keeping

…

LR 19.4 Continuing obligations

As Published: 2006

LR 19.4 Continuing obligations

…

SUP 16.10 Verification of standing data

As Published: 2004

SUP 16.10 Verification of standing data

…

LR 13.2 Approval of circulars

As Published: 2010

LR 13.2 Approval of circulars

…

BIPRU 12.5 Individual Liquidity Adequacy Standards

As Published: 2009

BIPRU 12.5 Individual Liquidity Adequacy Standards

…

LR 9.8 Annual financial report

As Published: 2006

LR 9.8 Annual financial report

…

COLL 4.4 Meetings of Unitholders and service of notices

As Published: 2006

COLL 4.4 Meetings of Unitholders and service of notices

…

LR 13.8 Other circulars

As Published: 2007

LR 13.8 Other circulars

…

CASS 1.4 Application: particular activities

As Published: 2007

CASS 1.4 Application: particular activities

…

PERG 12.3 Rights under a personal pension scheme

As Published: 2006

PERG 12.3 Rights under a personal pension scheme

…

BIPRU 5.5 Other funded credit risk mitigation

As Published: 2010

BIPRU 5.5 Other funded credit risk mitigation

…

PERG 11.2 Guidance on property investment clubs

As Published: 2006

PERG 11.2 Guidance on property investment clubs

…

COBS 18.5 Operators of collective investment schemes

As Published: 2007

COBS 18.5 Operators of collective investment schemes

…

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

…

PERG 8.33 Introducing

As Published: 2007

PERG 8.33 Introducing

…

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