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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 13A.3 Qualifications for authorisation under the Act

As Published: 2007

SUP 13A.3 Qualifications for authorisation under the Act

…

SUP 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets

…

DISP App 1.5 Additional considerations

As Published: 2005

DISP App 1.5 Additional considerations

…

CASS 10.1 Application, purpose and general provisions

As Published: 2012

CASS 10.1 Application, purpose and general provisions

…

CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

…

REC 3.14A Operation of a regulated market or MTF

As Published: 2007

REC 3.14A Operation of a regulated market or MTF

…

REC 3.2 Form and method of notification

As Published: 2013

REC 3.2 Form and method of notification

…

PR 2.5 Omission of information

As Published: 2012

PR 2.5 Omission of information

…

ICOBS 3.2 E-Commerce

As Published: 2013

ICOBS 3.2 E-Commerce

…

PR App 1.1

As Published: 2005

PR App 1.1

…

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

…

PERG 9.1 Application and Purpose

As Published: 2007

PERG 9.1 Application and Purpose

…

SYSC 7.1 Risk control

As Published: 2006

SYSC 7.1 Risk control

…

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

As Published: 2007

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

…

LR 8.5 Responsibilities of listed companies

As Published: 2007

LR 8.5 Responsibilities of listed companies

…

SUP 4.5 Provisions applicable to all actuaries

As Published: 2004

SUP 4.5 Provisions applicable to all actuaries

…

CASS 11.3 Responsibility for CASS operational oversight

As Published: 2014

CASS 11.3 Responsibility for CASS operational oversight

…

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 20.4 Continuing obligations

As Published: 2010

LR 20.4 Continuing obligations

…

REC 3.4 Key individuals and internal organisation

As Published: 2007

REC 3.4 Key individuals and internal organisation

…

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