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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 2.16 Complaints

As Published: 2004

REC 2.16 Complaints

…

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

As Published: 2015

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

…

LR 10.7 Transactions by specialist companies

As Published: 2010

LR 10.7 Transactions by specialist companies

…

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

As Published: 2015

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

…

DEPP 6.4 Financial penalty or public censure

As Published: 2010

DEPP 6.4 Financial penalty or public censure

…

RCB 6.1 Application and purpose

As Published: 2008

RCB 6.1 Application and purpose

…

REC 4.2G Reports by skilled persons

As Published: 2013

REC 4.2G Reports by skilled persons

…

PERG 16.2 What types of funds and businesses are caught?

As Published: 2013

PERG 16.2 What types of funds and businesses are caught?

…

SUP 3.5 Auditors' independence

As Published: 2008

SUP 3.5 Auditors' independence

…

MAR 5A.8 Reporting requirements

As Published: 2017

MAR 5A.8 Reporting requirements

…

PERG 5.14 Exemptions

As Published: 2011

PERG 5.14 Exemptions

…

PERG 8.3 Financial promotion

As Published: 2005

PERG 8.3 Financial promotion

…

DISP 3.2 Jurisdiction

As Published: 2007

DISP 3.2 Jurisdiction

…

DISP 1.4 Complaints resolution rules

As Published: 2003

DISP 1.4 Complaints resolution rules

…

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

…

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 12.1 The FCA’s general approach

As Published: 2016

EG 12.1 The FCA’s general approach

…

PERG 8.7 Engage in investment activity

As Published: 2011

PERG 8.7 Engage in investment activity

…

SUP App 2.1 Application

As Published: 2004

SUP App 2.1 Application

…

MAR 6.2 Purpose

As Published: 2017

MAR 6.2 Purpose

…

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