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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 8.3 Records and internal controls

As Published: 2013

CASS 8.3 Records and internal controls

…

DTR 4.4 Exemptions

As Published: 2010

DTR 4.4 Exemptions

…

SUP 13.4 Providing cross border services into another EEA State

As Published: 2001

SUP 13.4 Providing cross border services into another EEA State

…

REC 3.26 Proposals to make regulatory provision

As Published: 2007

REC 3.26 Proposals to make regulatory provision

…

CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

…

LR 2.2 Requirements for all securities

As Published: 2007

LR 2.2 Requirements for all securities

…

RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

…

SYSC 19A.1 General application and purpose

As Published: 2010

SYSC 19A.1 General application and purpose

…

PR 3.1 Approval of prospectus

As Published: 2005

PR 3.1 Approval of prospectus

…

MCOB 4.11 Sale and rent back: advising and selling standards

As Published: 2010

MCOB 4.11 Sale and rent back: advising and selling standards

…

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

As Published: 2010

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

…

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

…

RCB 2.2 Applying for registration

As Published: 2011

RCB 2.2 Applying for registration

…

LR 10.8 Miscellaneous

As Published: 2007

LR 10.8 Miscellaneous

…

FEES 5.9 Leaving the Financial Ombudsman Service

As Published: 2009

FEES 5.9 Leaving the Financial Ombudsman Service

…

REC 3.25 Significant breaches of rules and disorderly trading conditions

As Published: 2007

REC 3.25 Significant breaches of rules and disorderly trading conditions

…

LR 20.4 Continuing obligations

As Published: 2010

LR 20.4 Continuing obligations

…

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

…

FEES 1.1 Application and Purpose

As Published: 2005

FEES 1.1 Application and Purpose

…

LR 9.4 Documents requiring prior approval

As Published: 2005

LR 9.4 Documents requiring prior approval

…

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