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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).

SYSC 9.1 General rules on record-keeping

As Published: 2007

SYSC 9.1 General rules on record-keeping

…

REC 4.4 Complaints

As Published: 2011

REC 4.4 Complaints

…

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

…

SUP 5.1 Application and purpose

As Published: 2001

SUP 5.1 Application and purpose

…

REC 2.12 Availability of relevant information and admission of financial instruments to trading

As Published: 2004

REC 2.12 Availability of relevant information and admission of financial instruments to trading

…

SUP 10C.10 Application for approval and withdrawing an application for approval

As Published: 2015

SUP 10C.10 Application for approval and withdrawing an application for approval

…

SUP 12.8 Termination of a relationship with an appointed representative or FCA registered tied agent

As Published: 2004

SUP 12.8 Termination of a relationship with an appointed representative or FCA registered tied agent

…

GENPRU 2.2 Capital resources

As Published: 2006

GENPRU 2.2 Capital resources

…

PERG 8.14 Other financial promotions

As Published: 2005

PERG 8.14 Other financial promotions

…

SUP 15.2 Purpose

As Published: 2005

SUP 15.2 Purpose

…

LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

…

MAR 10.3 Position management controls

As Published: 2017

MAR 10.3 Position management controls

…

FEES 9.2 PSR fees

As Published: 2015

FEES 9.2 PSR fees

…

REC 3.25 Significant breaches of rules and disorderly trading conditions

As Published: 2007

REC 3.25 Significant breaches of rules and disorderly trading conditions

…

REC 2.9 Transaction recording

As Published: 2004

REC 2.9 Transaction recording

…

SYSC 19D.3 Remuneration principles

As Published: 2017

SYSC 19D.3 Remuneration principles

…

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]

…

SYSC 19A.3 Remuneration principles for IFPRU investment firms

As Published: 2011

SYSC 19A.3 Remuneration principles for IFPRU investment firms

…

COLL 7.7 UCITS mergers

As Published: 2011

COLL 7.7 UCITS mergers

…

LR 17.3 Requirements with continuing application

As Published: 2006

LR 17.3 Requirements with continuing application

…

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