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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).

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

As Published: 2013

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

…

COLL 5.3 Derivative exposure

As Published: 2005

COLL 5.3 Derivative exposure

…

SYSC 4.2 Persons who effectively direct the business

As Published: 2008

SYSC 4.2 Persons who effectively direct the business

…

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

…

SYSC 12.1 Application

As Published: 2006

SYSC 12.1 Application

…

MAR 7A.3 Requirements for algorithmic trading

As Published: 2017

MAR 7A.3 Requirements for algorithmic trading

…

SUP 15.3 General notification requirements

As Published: 2004

SUP 15.3 General notification requirements

…

CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

…

PERG 8.36 Illustrative tables

As Published: 2005

PERG 8.36 Illustrative tables

…

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

…

SYSC 19C.3 Remuneration principles

As Published: 2014

SYSC 19C.3 Remuneration principles

…

COLL 3.3 Units

As Published: 2007

COLL 3.3 Units

…

COBS 6.1C Consultancy charging and remuneration

As Published: 2010

COBS 6.1C Consultancy charging and remuneration

…

SUP 11.5 Notifications by firms

As Published: 2004

SUP 11.5 Notifications by firms

…

SUP 6.5 Ending authorisation

As Published: 2001

SUP 6.5 Ending authorisation

…

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

…

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

As Published: 2015

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

…

SUP 13.12 Sources of further information

As Published: 2001

SUP 13.12 Sources of further information

…

SUP 11.2 Purpose

As Published: 2004

SUP 11.2 Purpose

…

PERG 9.6 The investment condition (section 236(3) of the Act): general

As Published: 2009

PERG 9.6 The investment condition (section 236(3) of the Act): general

…

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