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161 - 180 of 603 items.

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Investments (239)
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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).

MCOB 2.8 Record keeping

As Published: 2006

MCOB 2.8 Record keeping

…

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

…

COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

…

COLL 6.4 Title and registers

As Published: 2013

COLL 6.4 Title and registers

…

FEES 4.2 Obligation to pay periodic fees

As Published: 2006

FEES 4.2 Obligation to pay periodic fees

…

BIPRU 13.3 Calculation of exposure values for financial derivatives and long settlement transactions: General provisions

As Published: 2010

BIPRU 13.3 Calculation of exposure values for financial derivatives and long settlement transactions: General provisions

…

BIPRU 13.8 Securities financing transactions

As Published: 2006

BIPRU 13.8 Securities financing transactions

…

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

As Published: 2005

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

…

MCOB 4.10 Home purchase plans: sales standards

As Published: 2006

MCOB 4.10 Home purchase plans: sales standards

…

GENPRU 1.3 Valuation

As Published: 2006

GENPRU 1.3 Valuation

…

COBS 4.5 Communicating with retail clients (non-MiFID provisions)

As Published: 2008

COBS 4.5 Communicating with retail clients (non-MiFID provisions)

…

COLL 8.3 Investor relations

As Published: 2006

COLL 8.3 Investor relations

…

CASS 6.7 Treatment of custody assets after a failure

As Published: 2017

CASS 6.7 Treatment of custody assets after a failure

…

CONC 1.1 Application and purpose

As Published: 2014

CONC 1.1 Application and purpose

…

SYSC 2.2 Recording the apportionment

As Published: 2015

SYSC 2.2 Recording the apportionment

…

REC 2.9 Transaction recording

As Published: 2004

REC 2.9 Transaction recording

…

PERG 7.3 Does the activity require authorisation?

As Published: 2006

PERG 7.3 Does the activity require authorisation?

…

PERG 13.1 Introduction

As Published: 2007

PERG 13.1 Introduction

…

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

As Published: 2016

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

…

EG 13.10 Applications in relation to voluntary arrangements: the FCA’s policy

As Published: 2016

EG 13.10 Applications in relation to voluntary arrangements: the FCA’s policy

…

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