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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).

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 3.1 Introduction

As Published: 2005

FEES 3.1 Introduction

…

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 16.12 Integrated Regulatory Reporting

As Published: 2006

SUP 16.12 Integrated Regulatory Reporting

…

COND 2.4 Appropriate resources

As Published: 2004

COND 2.4 Appropriate resources

…

SUP 13.11 Record keeping

As Published: 2007

SUP 13.11 Record keeping

…

SUP 13A.6 Which rules will an incoming EEA firm be subject to?

As Published: 2007

SUP 13A.6 Which rules will an incoming EEA firm be subject to?

…

REC 4.2A Publication of information by UK RIEs and RAPs

As Published: 2007

REC 4.2A Publication of information by UK RIEs and RAPs

…

SUP 2.3 Information gathering by the appropriate regulator on its own initiative: cooperation by firms

As Published: 2007

SUP 2.3 Information gathering by the appropriate regulator on its own initiative: cooperation by firms

…

REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

…

REC 2.3 Financial resources

As Published: 2004

REC 2.3 Financial resources

…

SUP 11.5 Notifications by firms

As Published: 2004

SUP 11.5 Notifications by firms

…

SYSC 1.4 Application of SYSC 11 to SYSC 21

As Published: 2006

SYSC 1.4 Application of SYSC 11 to SYSC 21

…

SUP 3.8 Rights and duties of auditors

As Published: 2004

SUP 3.8 Rights and duties of auditors

…

SUP 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

…

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

As Published: 2007

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

…

PERG 2.11

As Published: 2007

PERG 2.11

…

SYSC 4.2 Persons who effectively direct the business

As Published: 2008

SYSC 4.2 Persons who effectively direct the business

…

SUP 16.17 Remuneration reporting

As Published: 2012

SUP 16.17 Remuneration reporting

…

SUP 8.6 Publication of waivers

As Published: 2004

SUP 8.6 Publication of waivers

…

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