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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 9.3 Giving individual guidance to a firm on the FCA's own initiative

As Published: 2004

SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative

…

SUP 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

…

SUP 6.1 Application, interpretation and purpose

As Published: 2004

SUP 6.1 Application, interpretation and purpose

…

MAR 8.2 Requirements for benchmark submitters

As Published: 2013

MAR 8.2 Requirements for benchmark submitters

…

SUP 9.1 Application and purpose

As Published: 2001

SUP 9.1 Application and purpose

…

SYSC 4.3 Responsibility of senior personnel

As Published: 2007

SYSC 4.3 Responsibility of senior personnel

…

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

As Published: 2005

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

…

DTR 1C.1 Application and purpose (Primary information providers)

As Published: 2014

DTR 1C.1 Application and purpose (Primary information providers)

…

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 3.8 Financial and other information

As Published: 2013

REC 3.8 Financial and other information

…

GEN 6.1 Payment of financial penalties

As Published: 2003

GEN 6.1 Payment of financial penalties

…

CASS 11.11 Records, accounts and reconciliations

As Published: 2014

CASS 11.11 Records, accounts and reconciliations

…

PERG 5.13 Appointed representatives

As Published: 2014

PERG 5.13 Appointed representatives

…

REC 2.8 Settlement and clearing facilitation services

As Published: 2004

REC 2.8 Settlement and clearing facilitation services

…

PERG 10.3 Pension Scheme Trustees

As Published: 2006

PERG 10.3 Pension Scheme Trustees

…

LR 15.4 Continuing obligations

As Published: 2007

LR 15.4 Continuing obligations

…

COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

…

SUP 11.1 Application

As Published: 2001

SUP 11.1 Application

…

MCOB 2.6A Protecting customer’s interests: regulated mortgage contracts, home purchase plans, home reversion plans and regulated sale and rent back agreements

As Published: 2006

MCOB 2.6A Protecting customer’s interests: regulated mortgage contracts, home purchase plans, home reversion plans and regulated sale and rent back agreements

…

COLL 8.2 Constitution

As Published: 2007

COLL 8.2 Constitution

…

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