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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).

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

…

MAR 5A.5 Systems and controls for algorithmic trading

As Published: 2017

MAR 5A.5 Systems and controls for algorithmic 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

…

GENPRU 3.2 Third-country groups

As Published: 2007

GENPRU 3.2 Third-country groups

…

SUP 3.1 Application

As Published: 2001

SUP 3.1 Application

…

RCB 2.3 Determination of registration

As Published: 2011

RCB 2.3 Determination of registration

…

CASS 6.6 Records, accounts and reconciliations

As Published: 2014

CASS 6.6 Records, accounts and reconciliations

…

PRIN 3.1 Who?

As Published: 2007

PRIN 3.1 Who?

…

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

…

COLL 8.3 Investor relations

As Published: 2006

COLL 8.3 Investor relations

…

COLL 8.5 Powers and responsibilities

As Published: 2006

COLL 8.5 Powers and responsibilities

…

EG 6.2 Publicity during, or upon the conclusion of regulatory action

As Published: 2015

EG 6.2 Publicity during, or upon the conclusion of regulatory action

…

SUP 10C.14 Changes to an FCA-approved person’s details

As Published: 2015

SUP 10C.14 Changes to an FCA-approved person’s details

…

DEPP 3.2 The operation of the RDC

As Published: 2013

DEPP 3.2 The operation of the RDC

…

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

As Published: 2017

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

…

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

As Published: 2007

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

…

COND 2.3 Effective supervision

As Published: 2004

COND 2.3 Effective supervision

…

DEPP 7.2 Interviews

As Published: 2009

DEPP 7.2 Interviews

…

DISP 1.9 Complaints record rule

As Published: 2011

DISP 1.9 Complaints record rule

…

SUP 15.1 Application

As Published: 2002

SUP 15.1 Application

…

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