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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).

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

As Published: 2011

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

…

DISP 1.10A Complaints data publication rules

As Published: 2010

DISP 1.10A Complaints data publication rules

…

MAR 1.6 Manipulating transactions

As Published: 2005

MAR 1.6 Manipulating transactions

…

SUP 6.4 Applications for cancellation of permission

As Published: 2004

SUP 6.4 Applications for cancellation of permission

…

LR 5.4 Restoring listing

As Published: 2010

LR 5.4 Restoring listing

…

RCB 1.1 Introduction to sourcebook

As Published: 2008

RCB 1.1 Introduction to sourcebook

…

PRIN 1.2 Clients and the Principles

As Published: 2004

PRIN 1.2 Clients and the Principles

…

IFPRU 11.5 Intra-group financial support

As Published: 2016

IFPRU 11.5 Intra-group financial support

…

CASS 11.2 Firm classification

As Published: 2014

CASS 11.2 Firm classification

…

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

As Published: 2007

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

…

SUP 15.6 Inaccurate, false or misleading information

As Published: 2005

SUP 15.6 Inaccurate, false or misleading information

…

CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

…

SYSC 6.2 Internal audit

As Published: 2007

SYSC 6.2 Internal audit

…

GENPRU 3.1 Application

As Published: 2006

GENPRU 3.1 Application

…

SUP 5.6 Confidential information and privilege

As Published: 2016

SUP 5.6 Confidential information and privilege

…

EG 2.9 FCA guidance and supporting materials

As Published: 2016

EG 2.9 FCA guidance and supporting materials

…

COBS 11.4 Client limit orders

As Published: 2007

COBS 11.4 Client limit orders

…

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation [deleted]

As Published: 2016

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation [deleted]

…

COBS 11.8 Recording telephone conversations and electronic communications [deleted]

As Published: 2008

COBS 11.8 Recording telephone conversations and electronic communications [deleted]

…

IFPRU 4.15 Credit risk mitigation

As Published: 2019

IFPRU 4.15 Credit risk mitigation

…

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