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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).

FEES 5.8 Joining the Financial Ombudsman Service

As Published: 2009

FEES 5.8 Joining the Financial Ombudsman Service

…

REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

…

SUP 10A.13 Application for approval and withdrawing an application for approval

As Published: 2013

SUP 10A.13 Application for approval and withdrawing an application for approval

…

LR 11.1 Related party transactions

As Published: 2005

LR 11.1 Related party transactions

…

COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs

As Published: 2007

COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs

…

MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

…

RCB 3.3 Asset pool notifications

As Published: 2011

RCB 3.3 Asset pool notifications

…

BIPRU 1.2 Definition of the trading book

As Published: 2010

BIPRU 1.2 Definition of the trading book

…

FIT 1.3 Assessing fitness and propriety

As Published: 2003

FIT 1.3 Assessing fitness and propriety

…

PERG 13.3 Investment Services and Activities

As Published: 2012

PERG 13.3 Investment Services and Activities

…

SUP 13A.4 EEA firms establishing a branch in the United Kingdom

As Published: 2007

SUP 13A.4 EEA firms establishing a branch in the United Kingdom

…

CASS 9.3 Prime brokerage agreement disclosure annex

As Published: 2010

CASS 9.3 Prime brokerage agreement disclosure annex

…

BIPRU 1.1 Application

As Published: 2006

BIPRU 1.1 Application

…

SUP 15.7 Form and method of notification

As Published: 2002

SUP 15.7 Form and method of notification

…

REC 3.15 Suspension of services and inability to operate facilities

As Published: 2007

REC 3.15 Suspension of services and inability to operate facilities

…

PERG 16.3 Managing an AIF

As Published: 2013

PERG 16.3 Managing an AIF

…

REC 3.14 Products, services and normal hours of operation

As Published: 2007

REC 3.14 Products, services and normal hours of operation

…

APER 4.2 Statement of Principle 2

As Published: 2005

APER 4.2 Statement of Principle 2

…

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

…

SUP 2.4 'Mystery shopping'

As Published: 2005

SUP 2.4 'Mystery shopping'

…

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