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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).

DTR 5.9 Filing of information with competent authority

As Published: 2007

DTR 5.9 Filing of information with competent authority

…

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

…

MCOB 3A.8 Sale and rent back financial promotions

As Published: 2015

MCOB 3A.8 Sale and rent back financial promotions

…

FEES 5.5B Case fees

As Published: 2013

FEES 5.5B Case fees

…

IPRU-INV 11.1 INTRODUCTION

As Published: 2015

IPRU-INV 11.1 INTRODUCTION

…

COBS 22.2 Restrictions on the retail distribution of mutual society shares

As Published: 2015

COBS 22.2 Restrictions on the retail distribution of mutual society shares

…

COBS 9.2 Assessing suitability

As Published: 2007

COBS 9.2 Assessing suitability

…

COBS 22.3 Restrictions on the retail distribution of contingent convertible instruments and CoCo funds

As Published: 2015

COBS 22.3 Restrictions on the retail distribution of contingent convertible instruments and CoCo funds

…

COBS 19.1 Pension transfers, conversions, and opt-outs

As Published: 2007

COBS 19.1 Pension transfers, conversions, and opt-outs

…

COBS 11.7 Personal account dealing

As Published: 2007

COBS 11.7 Personal account dealing

…

BIPRU 13.7 Contractual netting

As Published: 2012

BIPRU 13.7 Contractual netting

…

COBS 19.2 Personal pensions, FSAVCs and AVCs

As Published: 2007

COBS 19.2 Personal pensions, FSAVCs and AVCs

…

PERG 16.3 Managing an AIF

As Published: 2013

PERG 16.3 Managing an AIF

…

IFPRU 3.1 Base own funds requirement

As Published: 2014

IFPRU 3.1 Base own funds requirement

…

BIPRU 14.3 Unsettled transactions

As Published: 2006

BIPRU 14.3 Unsettled transactions

…

BIPRU 9.9 Calculation of risk-weighted exposure amounts for securitisation positions

As Published: 2006

BIPRU 9.9 Calculation of risk-weighted exposure amounts for securitisation positions

…

COBS 2.1 Acting honestly, fairly and professionally

As Published: 2007

COBS 2.1 Acting honestly, fairly and professionally

…

BIPRU 14.4 Free deliveries

As Published: 2007

BIPRU 14.4 Free deliveries

…

IPRU-INV 5.9 Liquid Capital Requirement for firms whose permitted business includes establishing, operating or winding up a personal pension scheme

As Published: 2016

IPRU-INV 5.9 Liquid Capital Requirement for firms whose permitted business includes establishing, operating or winding up a personal pension scheme

…

COBS 11.4 Client limit orders

As Published: 2007

COBS 11.4 Client limit orders

…

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