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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).

CASS 7.18 Acknowledgment letters

As Published: 2015

CASS 7.18 Acknowledgment letters

…

COBS 4.5 Communicating with retail clients

As Published: 2008

COBS 4.5 Communicating with retail clients

…

REC 2A.4 Power and procedure for RAP penalties and censures

As Published: 2012

REC 2A.4 Power and procedure for RAP penalties and censures

…

RCB 3.2 Annual confirmations of compliance and asset pool monitor

As Published: 2011

RCB 3.2 Annual confirmations of compliance and asset pool monitor

…

REC 4.9 Disciplinary measures

As Published: 2013

REC 4.9 Disciplinary measures

…

CREDS 7.1 Application, purpose and interpretation

As Published: 2011

CREDS 7.1 Application, purpose and interpretation

…

EG 7.1 The FCA’s use of sanctions

As Published: 2015

EG 7.1 The FCA’s use of sanctions

…

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

As Published: 2012

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

…

PERG 8.11 Types of exemption under the Financial Promotion Order

As Published: 2005

PERG 8.11 Types of exemption under the Financial Promotion Order

…

PERG 4.18 Regulated activities related to mortgages: flowchart

As Published: 2005

PERG 4.18 Regulated activities related to mortgages: flowchart

…

COBS 3.4 Retail clients

As Published: 2007

COBS 3.4 Retail clients

…

REC 4.2C Control over a UK RIE

As Published: 2007

REC 4.2C Control over a UK RIE

…

SUP 2.4 'Mystery shopping'

As Published: 2005

SUP 2.4 'Mystery shopping'

…

EG 13.3 Petitions for administration orders or compulsory winding up orders: determining whether a company or partnership is unable to pay its debts

As Published: 2016

EG 13.3 Petitions for administration orders or compulsory winding up orders: determining whether a company or partnership is unable to pay its debts

…

SUP 15A.1 Application and notifications under EMIR

As Published: 2013

SUP 15A.1 Application and notifications under EMIR

…

REC 3.7 Auditors

As Published: 2013

REC 3.7 Auditors

…

PRIN 3.3 Where?

As Published: 2002

PRIN 3.3 Where?

…

MCOB 13.3 Dealing fairly with customers with a payment shortfall: policy and procedures

As Published: 2006

MCOB 13.3 Dealing fairly with customers with a payment shortfall: policy and procedures

…

PRIN 2.1 The Principles

As Published: 2001

PRIN 2.1 The Principles

…

COBS 11.3 Client order handling

As Published: 2011

COBS 11.3 Client order handling

…

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