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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).

COBS 9.4 Suitability reports

As Published: 2007

COBS 9.4 Suitability reports

…

LR 14.2 Requirements for listing

As Published: 2007

LR 14.2 Requirements for listing

…

COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS

As Published: 2017

COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS

…

CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments

As Published: 2016

CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments

…

CASS 9.5 Reporting to clients on request

As Published: 2014

CASS 9.5 Reporting to clients on request

…

SYSC 19B.1 Application

As Published: 2013

SYSC 19B.1 Application

…

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

As Published: 2007

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

…

PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

…

ICOBS 3.2 E-Commerce

As Published: 2013

ICOBS 3.2 E-Commerce

…

APER 4.7 Statement of Principle 7

As Published: 2006

APER 4.7 Statement of Principle 7

…

MCOB 2A.4 Early repayment

As Published: 2016

MCOB 2A.4 Early repayment

…

GEN 7.2 Call charges

As Published: 2015

GEN 7.2 Call charges

…

BIPRU 7.8 Securities underwriting

As Published: 2018

BIPRU 7.8 Securities underwriting

…

MAR 8.2 Requirements for benchmark submitters [deleted]

As Published: 2018

MAR 8.2 Requirements for benchmark submitters [deleted]

…

CASS 7.15 Records, accounts and reconciliations

As Published: 2014

CASS 7.15 Records, accounts and reconciliations

…

SYSC 3.1 Systems and controls

As Published: 2006

SYSC 3.1 Systems and controls

…

BIPRU 7.10 Use of a Value at Risk Model

As Published: 2007

BIPRU 7.10 Use of a Value at Risk Model

…

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

…

MCOB 4A.1 Additional disclosure by MCD mortgage credit intermediaries

As Published: 2015

MCOB 4A.1 Additional disclosure by MCD mortgage credit intermediaries

…

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

As Published: 2016

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

…

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