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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 9.3 Giving individual guidance to a firm on the FCA's own initiative

As Published: 2004

SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative

…

EG 16.1 The FCA’s general approach to making disapplication orders

As Published: 2016

EG 16.1 The FCA’s general approach to making disapplication orders

…

APER 4.4 Statement of Principle 4

As Published: 2015

APER 4.4 Statement of Principle 4

…

EG 7.1 The FCA’s use of sanctions

As Published: 2015

EG 7.1 The FCA’s use of sanctions

…

COBS 4.1 Application

As Published: 2007

COBS 4.1 Application

…

LR 1.2 Modifying rules and consulting the FCA

As Published: 2010

LR 1.2 Modifying rules and consulting the FCA

…

BIPRU 7.10 Use of a Value at Risk Model

As Published: 2007

BIPRU 7.10 Use of a Value at Risk Model

…

PRIN 3.4 General

As Published: 2004

PRIN 3.4 General

…

MAR 5A.11 Post-trade transparency requirements for non-equity instruments: form of deferral

As Published: 2017

MAR 5A.11 Post-trade transparency requirements for non-equity instruments: form of deferral

…

REC 3.7 Auditors

As Published: 2013

REC 3.7 Auditors

…

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

As Published: 2013

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

…

LR 5.2 Cancelling listing

As Published: 2007

LR 5.2 Cancelling listing

…

MCOB 5.1 Application

As Published: 2004

MCOB 5.1 Application

…

MCOB 6.9 Regulated sale and rent back agreements

As Published: 2010

MCOB 6.9 Regulated sale and rent back agreements

…

PERG 9.3 The definition

As Published: 2005

PERG 9.3 The definition

…

SUP 10A.8 Systems and controls functions

As Published: 2013

SUP 10A.8 Systems and controls functions

…

EG 13.2 The FCA’s general approach to use of its powers and rights in insolvency proceedings

As Published: 2016

EG 13.2 The FCA’s general approach to use of its powers and rights in insolvency proceedings

…

EG 19.6 Regulated Activities Order 2001 (RAO)

As Published: 2016

EG 19.6 Regulated Activities Order 2001 (RAO)

…

MAR 7A.4 Requirements when providing direct electronic access

As Published: 2017

MAR 7A.4 Requirements when providing direct electronic access

…

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

…

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