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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).

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

As Published: 2017

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

…

SUP 11.2 Purpose

As Published: 2004

SUP 11.2 Purpose

…

LR 2.2 Requirements for all securities

As Published: 2007

LR 2.2 Requirements for all securities

…

MAR 10.5 Other reporting, notifications and information requirements

As Published: 2017

MAR 10.5 Other reporting, notifications and information requirements

…

PERG 8.28 Advice or information

As Published: 2018

PERG 8.28 Advice or information

…

COLL 6.11 Risk control and internal reporting

As Published: 2011

COLL 6.11 Risk control and internal reporting

…

BIPRU 13.8 Securities financing transactions

As Published: 2006

BIPRU 13.8 Securities financing transactions

…

MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

…

BIPRU 7.7 Position risk requirements for collective investment undertakings

As Published: 2007

BIPRU 7.7 Position risk requirements for collective investment undertakings

…

COLL 7.2 Suspension and restart of dealings

As Published: 2008

COLL 7.2 Suspension and restart of dealings

…

FEES 12.2 FOS ADR levy

As Published: 2015

FEES 12.2 FOS ADR levy

…

COBS 4.13 UCITS

As Published: 2011

COBS 4.13 UCITS

…

FIT 1.1 Application and purpose

As Published: 2015

FIT 1.1 Application and purpose

…

LR 14.2 Requirements for listing

As Published: 2007

LR 14.2 Requirements for listing

…

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

As Published: 2007

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

…

PERG 5.4 The business test

As Published: 2018

PERG 5.4 The business test

…

IPRU-INV 4.2 PURPOSE

As Published: 2015

IPRU-INV 4.2 PURPOSE

…

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

As Published: 2016

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

…

PERG 12.2 Establishing, operating or winding up a personal pension scheme

As Published: 2006

PERG 12.2 Establishing, operating or winding up a personal pension scheme

…

SUP 15.12 Ongoing alerts for retail adviser complaints

As Published: 2015

SUP 15.12 Ongoing alerts for retail adviser complaints

…

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