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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 3.26 Proposals to make regulatory provision

As Published: 2007

REC 3.26 Proposals to make regulatory provision

…

DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

…

REC 3.15 Suspension of services and inability to operate facilities

As Published: 2007

REC 3.15 Suspension of services and inability to operate facilities

…

FEES 6.1 Application

As Published: 2005

FEES 6.1 Application

…

PR App 3.1

As Published: 2005

PR App 3.1

…

SUP 11.2 Purpose

As Published: 2004

SUP 11.2 Purpose

…

MIPRU 4.2BA Securitisation

As Published: 2015

MIPRU 4.2BA Securitisation

…

MAR 5A.5 Systems and controls for algorithmic trading

As Published: 2017

MAR 5A.5 Systems and controls for algorithmic trading

…

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

…

ICOBS 6.1 Providing product information to customers: general

As Published: 2007

ICOBS 6.1 Providing product information to customers: general

…

DEPP 4.1 Executive decision maker

As Published: 2007

DEPP 4.1 Executive decision maker

…

BIPRU 7.9 Use of a CAD 1 model

As Published: 2007

BIPRU 7.9 Use of a CAD 1 model

…

DEPP 6.5D Serious financial hardship

As Published: 2010

DEPP 6.5D Serious financial hardship

…

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 12.2 FCA cautions

As Published: 2015

EG 12.2 FCA cautions

…

SUP 16.18 AIFMD reporting

As Published: 2013

SUP 16.18 AIFMD reporting

…

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

…

BIPRU 12.4 Stress testing and contingency funding

As Published: 2010

BIPRU 12.4 Stress testing and contingency funding

…

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy

As Published: 2016

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy

…

FEES 10.1 Application, purpose and background

As Published: 2015

FEES 10.1 Application, purpose and background

…

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