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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).

DTR 5.10 Use of electronic means for notifications and filing

As Published: 2007

DTR 5.10 Use of electronic means for notifications and filing

…

ICOBS 2.4 Record-keeping

As Published: 2011

ICOBS 2.4 Record-keeping

…

APER 3.2 Factors relating to all Statements of Principle

As Published: 2001

APER 3.2 Factors relating to all Statements of Principle

…

CASS 8.3 Records and internal controls

As Published: 2013

CASS 8.3 Records and internal controls

…

DTR 5.9 Filing of information with competent authority

As Published: 2007

DTR 5.9 Filing of information with competent authority

…

MCOB 7.6 Mortgages: event-driven information

As Published: 2004

MCOB 7.6 Mortgages: event-driven information

…

COLL 4.4 Meetings of Unitholders and service of notices

As Published: 2006

COLL 4.4 Meetings of Unitholders and service of notices

…

MCOB 5.6 Content of illustrations

As Published: 2004

MCOB 5.6 Content of illustrations

…

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

…

PERG 10.3 Pension Scheme Trustees

As Published: 2006

PERG 10.3 Pension Scheme Trustees

…

PERG 10.4 Pension scheme service providers other than trustees

As Published: 2006

PERG 10.4 Pension scheme service providers other than trustees

…

COBS 2.4 Agent as client and reliance on others

As Published: 2007

COBS 2.4 Agent as client and reliance on others

…

COBS 18.2 Energy market activity and oil market activity

As Published: 2007

COBS 18.2 Energy market activity and oil market activity

…

COBS 14.2 Providing product information to clients

As Published: 2007

COBS 14.2 Providing product information to clients

…

COBS 4.9 Financial promotions with an overseas element

As Published: 2007

COBS 4.9 Financial promotions with an overseas element

…

DISP 1.2 Consumer awareness rules

As Published: 2003

DISP 1.2 Consumer awareness rules

…

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

As Published: 2012

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

…

COLL 11.5 Auditors

As Published: 2011

COLL 11.5 Auditors

…

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

…

LR 9.4 Documents requiring prior approval

As Published: 2005

LR 9.4 Documents requiring prior approval

…

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