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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).

MAR 6.1 Application

As Published: 2007

MAR 6.1 Application

…

PERG 2.3 The business element

As Published: 2006

PERG 2.3 The business element

…

SUP 3.1 Application

As Published: 2001

SUP 3.1 Application

…

REC 3.14 Products, services and normal hours of operation

As Published: 2007

REC 3.14 Products, services and normal hours of operation

…

BIPRU 12.2 Adequacy of liquidity resources

As Published: 2009

BIPRU 12.2 Adequacy of liquidity resources

…

DISP 1.3 Complaints handling rules

As Published: 2003

DISP 1.3 Complaints handling rules

…

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

As Published: 2007

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

…

SUP 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets

…

CASS 6.6 Records, accounts and reconciliations

As Published: 2014

CASS 6.6 Records, accounts and reconciliations

…

SUP 5.1 Application and purpose

As Published: 2001

SUP 5.1 Application and purpose

…

COND 1.3 General

As Published: 2013

COND 1.3 General

…

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

…

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

As Published: 2012

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

…

SYSC 6.3 Financial crime

As Published: 2008

SYSC 6.3 Financial crime

…

REC 3.4 Members of the management body and internal organisation

As Published: 2007

REC 3.4 Members of the management body and internal organisation

…

CASS 7.11 Treatment of client money

As Published: 2014

CASS 7.11 Treatment of client money

…

REC 4.2B Exercise of passport rights by a UK RIE

As Published: 2007

REC 4.2B Exercise of passport rights by a UK RIE

…

PERG 5.4 The business test

As Published: 2018

PERG 5.4 The business test

…

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

As Published: 2007

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

…

SYSC 22.5 Giving references: additional rules and guidance for all firms

As Published: 2016

SYSC 22.5 Giving references: additional rules and guidance for all firms

…

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