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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).

EG 19.15 The conduct of investigations under the Money Laundering Regulations

As Published: 2016

EG 19.15 The conduct of investigations under the Money Laundering Regulations

…

SUP 3.2 Purpose

As Published: 2001

SUP 3.2 Purpose

…

COBS 18.4 Stock lending activity

As Published: 2010

COBS 18.4 Stock lending activity

…

COBS 10.6 When a firm need not assess appropriateness

As Published: 2017

COBS 10.6 When a firm need not assess appropriateness

…

COBS 4.3 Financial promotions to be identifiable as such

As Published: 2009

COBS 4.3 Financial promotions to be identifiable as such

…

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

As Published: 2006

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

…

COBS 18.10 UCITS qualifiers, AIFM qualifiers and service companies

As Published: 2007

COBS 18.10 UCITS qualifiers, AIFM qualifiers and service companies

…

COBS 3.3 General notifications

As Published: 2007

COBS 3.3 General notifications

…

LR 7.2 The Listing and Premium Listing Principles

As Published: 2009

LR 7.2 The Listing and Premium Listing Principles

…

COBS 18.9 ICVCs

As Published: 2007

COBS 18.9 ICVCs

…

COBS 3.4 Retail clients

As Published: 2017

COBS 3.4 Retail clients

…

SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose

…

COBS 19.3 Product disclosure to members of occupational pension schemes

As Published: 2007

COBS 19.3 Product disclosure to members of occupational pension schemes

…

DISP 3.3 Dismissal without consideration of the merits and test cases

As Published: 2004

DISP 3.3 Dismissal without consideration of the merits and test cases

…

SUP 10A.15 References and accurate information

As Published: 2016

SUP 10A.15 References and accurate information

…

REC 6.2 Applications

As Published: 2007

REC 6.2 Applications

…

CASS 6.7 Treatment of custody assets after a failure

As Published: 2017

CASS 6.7 Treatment of custody assets after a failure

…

MIPRU 4.2 Capital resources requirements

As Published: 2006

MIPRU 4.2 Capital resources requirements

…

EG 13.6 Petitioning for compulsory winding up on just and equitable grounds

As Published: 2016

EG 13.6 Petitioning for compulsory winding up on just and equitable grounds

…

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279 and 281 of the Act – powers to revoke recognition of schemes recognised under section 272: the FCA's policy

As Published: 2016

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279 and 281 of the Act – powers to revoke recognition of schemes recognised under section 272: the FCA's policy

…

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