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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).

APER 4.4 Statement of Principle 4

As Published: 2015

APER 4.4 Statement of Principle 4

…

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

…

MAR 10.3 Position management controls

As Published: 2017

MAR 10.3 Position management controls

…

IPRU-INV 12.1 APPLICATION AND PURPOSE

As Published: 2017

IPRU-INV 12.1 APPLICATION AND PURPOSE

…

IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A CATEGORY B FIRM

As Published: 2015

IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A CATEGORY B FIRM

…

LR App 1.1 Relevant definitions

As Published: 2005

LR App 1.1 Relevant definitions

…

COCON 4.1 Specific guidance on individual conduct rules

As Published: 2015

COCON 4.1 Specific guidance on individual conduct rules

…

EG 19.34 Markets in Financial Instruments Regulations 2017

As Published: 2017

EG 19.34 Markets in Financial Instruments Regulations 2017

…

DEPP 3.2 The operation of the RDC

As Published: 2013

DEPP 3.2 The operation of the RDC

…

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

…

SUP 3.2 Purpose

As Published: 2001

SUP 3.2 Purpose

…

SUP 10A.10 Customer-dealing functions

As Published: 2014

SUP 10A.10 Customer-dealing functions

…

SYSC 8.1 General outsourcing requirements

As Published: 2006

SYSC 8.1 General outsourcing requirements

…

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

…

EG App 3.1 The FCA

As Published: 2015

EG App 3.1 The FCA

…

CREDS 8.3 Approved persons

As Published: 2012

CREDS 8.3 Approved persons

…

PERG 1.2 Introduction

As Published: 2007

PERG 1.2 Introduction

…

FIT 1.2 Introduction

As Published: 2007

FIT 1.2 Introduction

…

CASS 11.2 Firm classification

As Published: 2014

CASS 11.2 Firm classification

…

PERG 10.4A The application of requirements which implemented EU directives

As Published: 2006

PERG 10.4A The application of requirements which implemented EU directives

…

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