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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).

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?

…

LR 15.2 Requirements for listing

As Published: 2007

LR 15.2 Requirements for listing

…

LR 6.14 Shares in public hands

As Published: 2017

LR 6.14 Shares in public hands

…

SYSC 14.1 Application

As Published: 2006

SYSC 14.1 Application

…

FIT 1.1 Application and purpose

As Published: 2015

FIT 1.1 Application and purpose

…

DTR 2.5 Delaying disclosure of inside information

As Published: 2008

DTR 2.5 Delaying disclosure of inside information

…

SYSC 18.6 Whistleblowing obligations under MiFID and other EU legislation

As Published: 2017

SYSC 18.6 Whistleblowing obligations under MiFID and other EU legislation

…

SYSC 13.7 Processes and systems

As Published: 2007

SYSC 13.7 Processes and systems

…

CONC 7.17 Notice of sums in arrears under P2P agreements for fixed-sum credit

As Published: 2015

CONC 7.17 Notice of sums in arrears under P2P agreements for fixed-sum credit

…

MAR 1.4 Unlawful disclosure

As Published: 2001

MAR 1.4 Unlawful disclosure

…

SYSC 19D.2 General requirement

As Published: 2015

SYSC 19D.2 General requirement

…

SYSC 10.2 Chinese walls

As Published: 2007

SYSC 10.2 Chinese walls

…

SYSC 22.9 Records and transitionals

As Published: 2016

SYSC 22.9 Records and transitionals

…

MIPRU 3.2 Professional indemnity insurance requirements

As Published: 2006

MIPRU 3.2 Professional indemnity insurance requirements

…

LR 5.5 Miscellaneous

As Published: 2007

LR 5.5 Miscellaneous

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CREDS 8.2 Reporting requirements

As Published: 2012

CREDS 8.2 Reporting requirements

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SUP 3.11 Review of auditor’s client assets report

As Published: 2011

SUP 3.11 Review of auditor’s client assets report

…

SYSC 9.2 Credit institutions providing account information services or payment initiation services

As Published: 2018

SYSC 9.2 Credit institutions providing account information services or payment initiation services

…

EG 13.3 Petitions for administration orders or compulsory winding up orders: determining whether a company or partnership is unable to pay its debts

As Published: 2016

EG 13.3 Petitions for administration orders or compulsory winding up orders: determining whether a company or partnership is unable to pay its debts

…

REC 4.2A Publication of information by UK RIEs and RAPs

As Published: 2007

REC 4.2A Publication of information by UK RIEs and RAPs

…

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