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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).

REC 4.2B Exercise of passport rights by a UK RIE

As Published: 2007

REC 4.2B Exercise of passport rights by a UK RIE

…

REC 2.13 Promotion and maintenance of standards

As Published: 2004

REC 2.13 Promotion and maintenance of standards

…

REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

…

REC 2.14 Rules and consultation

As Published: 2004

REC 2.14 Rules and consultation

…

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

…

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

As Published: 2005

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

…

REC 4.3 Risk assessments for UK recognised bodies

As Published: 2013

REC 4.3 Risk assessments for UK recognised bodies

…

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

…

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

…

FEES 5.2 Introduction

As Published: 2006

FEES 5.2 Introduction

…

CREDS 2.1 Application and purpose

As Published: 2011

CREDS 2.1 Application and purpose

…

COCON 3.1 General factors for assessing compliance

As Published: 2016

COCON 3.1 General factors for assessing compliance

…

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

As Published: 2013

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

…

EG 16.2 Disapplication orders

As Published: 2016

EG 16.2 Disapplication orders

…

GEN 5.1 Application and purpose

As Published: 2003

GEN 5.1 Application and purpose

…

FEES 4.1 Introduction

As Published: 2005

FEES 4.1 Introduction

…

REC 2.15 Discipline

As Published: 2004

REC 2.15 Discipline

…

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

As Published: 2016

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

…

SYSC 6.3 Financial crime

As Published: 2008

SYSC 6.3 Financial crime

…

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

As Published: 2004

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

…

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