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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).

LR 3.3 Shares

As Published: 2007

LR 3.3 Shares

…

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

…

COLL 6.12 Risk management policy and risk measurement

As Published: 2011

COLL 6.12 Risk management policy and risk measurement

…

PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

…

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

As Published: 2011

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

…

LR 10.2 Classifying transactions

As Published: 2007

LR 10.2 Classifying transactions

…

INSPRU 1.5 Internal-contagion risk

As Published: 2006

INSPRU 1.5 Internal-contagion risk

…

SYSC 5.1 Skills, knowledge and expertise

As Published: 2006

SYSC 5.1 Skills, knowledge and expertise

…

COLL 4.3 Approvals and notifications

As Published: 2006

COLL 4.3 Approvals and notifications

…

LR 14.3 Continuing obligations

As Published: 2006

LR 14.3 Continuing obligations

…

LR 3.4 Debt and other securities

As Published: 2007

LR 3.4 Debt and other securities

…

SUP 6.5 Ending authorisation

As Published: 2001

SUP 6.5 Ending authorisation

…

SYSC 10.1 Application

As Published: 2006

SYSC 10.1 Application

…

COBS 11.6 Use of dealing commission

As Published: 2007

COBS 11.6 Use of dealing commission

…

PERG 13.4 Financial Instruments

As Published: 2007

PERG 13.4 Financial Instruments

…

LR 5.4A Transfer between listing categories: Equity shares

As Published: 2009

LR 5.4A Transfer between listing categories: Equity shares

…

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

…

BIPRU 7.9 Use of a CAD 1 model

As Published: 2007

BIPRU 7.9 Use of a CAD 1 model

…

SYSC 19D.3 Remuneration principles

As Published: 2015

SYSC 19D.3 Remuneration principles

…

IFPRU 2.2 Internal capital adequacy assessment process

As Published: 2014

IFPRU 2.2 Internal capital adequacy assessment process

…

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