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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 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

…

BIPRU 7.10 Use of a Value at Risk Model

As Published: 2007

BIPRU 7.10 Use of a Value at Risk Model

…

COBS 11.2 Best execution for AIFMs and residual CIS operators

As Published: 2007

COBS 11.2 Best execution for AIFMs and residual CIS operators

…

SYSC 12.1 Application

As Published: 2006

SYSC 12.1 Application

…

REC 4.2D Suspension and removal of financial instruments from trading by the FCA

As Published: 2007

REC 4.2D Suspension and removal of financial instruments from trading by the FCA

…

SUP 15.3 General notification requirements

As Published: 2004

SUP 15.3 General notification requirements

…

RCB 3.5 Other notifications

As Published: 2011

RCB 3.5 Other notifications

…

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

…

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

As Published: 2001

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

…

REC 6.8 Powers to supervise

As Published: 2013

REC 6.8 Powers to supervise

…

LR 9.2 Requirements with continuing application

As Published: 2006

LR 9.2 Requirements with continuing application

…

COLL 6.2 Dealing

As Published: 2005

COLL 6.2 Dealing

…

REC 2A.2 Method of satisfying the RAP recognition requirements

As Published: 2013

REC 2A.2 Method of satisfying the RAP recognition requirements

…

EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017

As Published: 2018

EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017

…

REC 3.19 Investigations

As Published: 2011

REC 3.19 Investigations

…

REC 3.12 Legal proceedings

As Published: 2013

REC 3.12 Legal proceedings

…

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

As Published: 2007

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

…

REC 3.7 Auditors

As Published: 2013

REC 3.7 Auditors

…

RCB 2.3 Determination of registration

As Published: 2011

RCB 2.3 Determination of registration

…

COLL 7.7 UCITS mergers

As Published: 2011

COLL 7.7 UCITS mergers

…

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