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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 2.14 Rules and consultation

As Published: 2004

REC 2.14 Rules and consultation

…

SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative

As Published: 2004

SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative

…

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

…

MCOB 1.2 General application: who? what?

As Published: 2005

MCOB 1.2 General application: who? what?

…

SYSC 19D.1 Application and purpose

As Published: 2015

SYSC 19D.1 Application and purpose

…

MCOB 9.5 Disclosure at the offer stage for equity release transactions

As Published: 2004

MCOB 9.5 Disclosure at the offer stage for equity release transactions

…

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

…

REC 2.15 Discipline

As Published: 2004

REC 2.15 Discipline

…

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

…

FEES 4.1 Introduction

As Published: 2005

FEES 4.1 Introduction

…

FEES 5.2 Introduction

As Published: 2006

FEES 5.2 Introduction

…

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

…

COCON 3.1 General factors for assessing compliance

As Published: 2016

COCON 3.1 General factors for assessing compliance

…

GEN 5.1 Application and purpose

As Published: 2003

GEN 5.1 Application and purpose

…

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

…

LR 2.2 Requirements for all securities

As Published: 2007

LR 2.2 Requirements for all securities

…

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