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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).

COBS 10.3 Warning the client

As Published: 2007

COBS 10.3 Warning the client

…

MAR 8.3 Requirements for benchmark administrators

As Published: 2013

MAR 8.3 Requirements for benchmark administrators

…

LR 20.4 Continuing obligations

As Published: 2010

LR 20.4 Continuing obligations

…

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

As Published: 2005

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

…

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

…

MCOB 4.10 Home purchase plans

As Published: 2006

MCOB 4.10 Home purchase plans

…

COBS 3.2 Clients

As Published: 2008

COBS 3.2 Clients

…

COBS 11.5 Record keeping: client orders and transactions

As Published: 2007

COBS 11.5 Record keeping: client orders and transactions

…

COBS 10.4 Assessing appropriateness: when it need not be done

As Published: 2007

COBS 10.4 Assessing appropriateness: when it need not be done

…

PR 3.2 Filing and publication of prospectus

As Published: 2012

PR 3.2 Filing and publication of prospectus

…

REC 4.2D Suspension and removal of financial instruments from trading

As Published: 2007

REC 4.2D Suspension and removal of financial instruments from trading

…

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

…

DEPP 2.5 Provision for certain categories of decision

As Published: 2007

DEPP 2.5 Provision for certain categories of decision

…

COLL 8.3 Investor relations

As Published: 2006

COLL 8.3 Investor relations

…

COLL 5.3 Derivative exposure

As Published: 2005

COLL 5.3 Derivative exposure

…

MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

…

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

…

LR 19.2 Requirements for listing

As Published: 2005

LR 19.2 Requirements for listing

…

PERG 8.32 Arranging deals in investments

As Published: 2005

PERG 8.32 Arranging deals in investments

…

PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

…

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