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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).

REC 3.1 Application and purpose

As Published: 2011

REC 3.1 Application and purpose

…

REC 3.9 Fees and incentive schemes

As Published: 2013

REC 3.9 Fees and incentive schemes

…

COBS 6.1F Using a platform service for arranging and advising

As Published: 2011

COBS 6.1F Using a platform service for arranging and advising

…

TC 3.1 Record-keeping requirements

As Published: 2007

TC 3.1 Record-keeping requirements

…

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

…

DISP 1.5 Complaints resolved by close of the third business day

As Published: 2002

DISP 1.5 Complaints resolved by close of the third business day

…

REC 3.14A Operation of a trading venue

As Published: 2007

REC 3.14A Operation of a trading venue

…

SUP 15.5 Core information requirements

As Published: 2005

SUP 15.5 Core information requirements

…

DTR 6.2 Filing information and use of language

As Published: 2012

DTR 6.2 Filing information and use of language

…

CASS 10.3 Existing records forming part of the CASS resolution pack

As Published: 2014

CASS 10.3 Existing records forming part of the CASS resolution pack

…

CASS 6.4 Use of safe custody assets

As Published: 2007

CASS 6.4 Use of safe custody assets

…

ICOBS 8.2 Motor vehicle liability insurers

As Published: 2013

ICOBS 8.2 Motor vehicle liability insurers

…

LR 2.2 Requirements for all securities

As Published: 2007

LR 2.2 Requirements for all securities

…

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

…

COCON 1.1 Application

As Published: 2015

COCON 1.1 Application

…

DTR 4.4 Exemptions

As Published: 2010

DTR 4.4 Exemptions

…

FEES 5.7 Payment

As Published: 2009

FEES 5.7 Payment

…

SYSC 6.1 Compliance

As Published: 2006

SYSC 6.1 Compliance

…

SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose

…

REC 4.5 FCA supervision of action by UK RIEs under their default rules

As Published: 2013

REC 4.5 FCA supervision of action by UK RIEs under their default rules

…

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