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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).

PERG 7.6 Applications for a certificate

As Published: 2007

PERG 7.6 Applications for a certificate

…

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

…

COBS 6.1D Product provider requirements relating to consultancy charging and remuneration

As Published: 2011

COBS 6.1D Product provider requirements relating to consultancy charging and remuneration

…

SYSC 19C.1 General application and purpose

As Published: 2014

SYSC 19C.1 General application and purpose

…

LR 2.2 Requirements for all securities

As Published: 2007

LR 2.2 Requirements for all securities

…

COBS 16.3 Periodic reporting

As Published: 2009

COBS 16.3 Periodic reporting

…

DISP 3.5 Resolution of complaints by the Ombudsman

As Published: 2008

DISP 3.5 Resolution of complaints by the Ombudsman

…

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

…

REC 2.5 Systems and controls and conflicts

As Published: 2004

REC 2.5 Systems and controls and conflicts

…

LR 13.2 Approval of circulars

As Published: 2010

LR 13.2 Approval of circulars

…

LR 9.5 Transactions

As Published: 2007

LR 9.5 Transactions

…

BIPRU 13.6 CCR internal model method

As Published: 2006

BIPRU 13.6 CCR internal model method

…

DEPP 6.2 Deciding whether to take action

As Published: 2007

DEPP 6.2 Deciding whether to take action

…

SUP 15.3 General notification requirements

As Published: 2004

SUP 15.3 General notification requirements

…

SYSC 5.2 Certification regime

As Published: 2015

SYSC 5.2 Certification regime

…

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

…

CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

…

TC App 4.1 Appropriate Qualification tables

As Published: 2010

TC App 4.1 Appropriate Qualification tables

…

SYSC 19C.3 Remuneration principles

As Published: 2014

SYSC 19C.3 Remuneration principles

…

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

…

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