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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).

CASS 5.6 Client money distribution

As Published: 2004

CASS 5.6 Client money distribution

…

MCOB 9.7 Disclosure at the start of the contract: lifetime mortgages

As Published: 2006

MCOB 9.7 Disclosure at the start of the contract: lifetime mortgages

…

CASS 5.8 Safe keeping of client's documents and other assets

As Published: 2010

CASS 5.8 Safe keeping of client's documents and other assets

…

APER 4.1 Statement of Principle 1

As Published: 2005

APER 4.1 Statement of Principle 1

…

CASS 7A.3 Secondary pooling events

As Published: 2010

CASS 7A.3 Secondary pooling events

…

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

As Published: 2007

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

…

SYSC 13.3 Other related Handbook sections

As Published: 2007

SYSC 13.3 Other related Handbook sections

…

GEN 1.1 Application

As Published: 2003

GEN 1.1 Application

…

PR App 1.1

As Published: 2005

PR App 1.1

…

MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

…

PERG 13.3 Investment Services and Activities

As Published: 2007

PERG 13.3 Investment Services and Activities

…

PR 1.2 Requirement for a prospectus and exemptions

As Published: 2009

PR 1.2 Requirement for a prospectus and exemptions

…

SUP 17.2 Making transaction reports

As Published: 2007

SUP 17.2 Making transaction reports

…

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

…

SUP 12.2 Introduction

As Published: 2001

SUP 12.2 Introduction

…

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

…

DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments

As Published: 2009

DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments

…

CASS 6.4 Use of safe custody assets

As Published: 2007

CASS 6.4 Use of safe custody assets

…

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 8.29 Advice must relate to the merits (of buying or selling a particular investment)

As Published: 2005

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

…

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