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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).

REC 4.2C Control over a UK RIE

As Published: 2007

REC 4.2C Control over a UK RIE

…

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

…

LR 8.2 When a sponsor must be appointed or its guidance obtained

As Published: 2007

LR 8.2 When a sponsor must be appointed or its guidance obtained

…

REC 2.10 Financial crime and market abuse

As Published: 2004

REC 2.10 Financial crime and market abuse

…

MAR 5.7 Pre-trade transparency requirements for shares

As Published: 2007

MAR 5.7 Pre-trade transparency requirements for shares

…

SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

…

TC 2.1 Assessing and maintaining competence

As Published: 2002

TC 2.1 Assessing and maintaining competence

…

SUP 8.6 Publication of waivers

As Published: 2004

SUP 8.6 Publication of waivers

…

REC 3.19 Investigations

As Published: 2011

REC 3.19 Investigations

…

SYSC 20.2 Reverse stress testing requirements

As Published: 2010

SYSC 20.2 Reverse stress testing requirements

…

DEPP 6A.2 Deciding whether to take action

As Published: 2013

DEPP 6A.2 Deciding whether to take action

…

GENPRU 1.2 Adequacy of financial resources

As Published: 2006

GENPRU 1.2 Adequacy of financial resources

…

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

…

COBS 6.1C Consultancy charging and remuneration

As Published: 2010

COBS 6.1C Consultancy charging and remuneration

…

SUP 12.5 Contracts: required terms

As Published: 2002

SUP 12.5 Contracts: required terms

…

MAR 5.6 Reporting requirements

As Published: 2007

MAR 5.6 Reporting requirements

…

LR 13.4 Class 1 circulars

As Published: 2007

LR 13.4 Class 1 circulars

…

MAR 6.1 Application

As Published: 2007

MAR 6.1 Application

…

DEPP 6A.1 Introduction

As Published: 2010

DEPP 6A.1 Introduction

…

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

…

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