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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).

COBS 9.5 Record keeping and retention periods for suitability records

As Published: 2007

COBS 9.5 Record keeping and retention periods for suitability records

…

MAR 5.3A Systems and controls for algorithmic trading

As Published: 2017

MAR 5.3A Systems and controls for algorithmic trading

…

MAR 5A.5 Systems and controls for algorithmic trading

As Published: 2017

MAR 5A.5 Systems and controls for algorithmic trading

…

SYSC 6.1 Compliance

As Published: 2006

SYSC 6.1 Compliance

…

CASS 1.4 Application: particular activities

As Published: 2007

CASS 1.4 Application: particular activities

…

SYSC 3.1 Systems and controls

As Published: 2006

SYSC 3.1 Systems and controls

…

COBS 3.2 Clients

As Published: 2008

COBS 3.2 Clients

…

PERG 13.2 General

As Published: 2011

PERG 13.2 General

…

COLL 8.4 Investment and borrowing powers

As Published: 2006

COLL 8.4 Investment and borrowing powers

…

IPRU-INV 11.1 INTRODUCTION

As Published: 2019

IPRU-INV 11.1 INTRODUCTION

…

FEES 6.5 Compensation costs

As Published: 2006

FEES 6.5 Compensation costs

…

REC 5.2 Application process

As Published: 2007

REC 5.2 Application process

…

MCOB 2.7 Application to electronic media and distance communications

As Published: 2004

MCOB 2.7 Application to electronic media and distance communications

…

REC 2A.3 Guidance on RAP recognition requirements

As Published: 2012

REC 2A.3 Guidance on RAP recognition requirements

…

EG App 3.1 The FCA

As Published: 2015

EG App 3.1 The FCA

…

CASS 5.6 Client money distribution

As Published: 2004

CASS 5.6 Client money distribution

…

SYSC 2.1 Apportionment of Responsibilities

As Published: 2002

SYSC 2.1 Apportionment of Responsibilities

…

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

As Published: 2016

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

…

APER 2.1A The Statements of Principle

As Published: 2015

APER 2.1A The Statements of Principle

…

SYSC 19B.1 Application

As Published: 2013

SYSC 19B.1 Application

…

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