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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

…

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

As Published: 2006

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

…

LR 1.4 Miscellaneous

As Published: 2005

LR 1.4 Miscellaneous

…

PERG 8.19 Additional restriction on the promotion of life policies

As Published: 2009

PERG 8.19 Additional restriction on the promotion of life policies

…

COBS 4.1 Application

As Published: 2007

COBS 4.1 Application

…

FEES 6.7 Payment of levies

As Published: 2008

FEES 6.7 Payment of levies

…

SUP 16.21 Reporting under the MCD Order for CBTL firms

As Published: 2016

SUP 16.21 Reporting under the MCD Order for CBTL firms

…

EG 8.3 Use of the own-initiative powers

As Published: 2016

EG 8.3 Use of the own-initiative powers

…

SUP 8.1 Application and purpose

As Published: 2003

SUP 8.1 Application and purpose

…

SYSC 6.3 Financial crime

As Published: 2008

SYSC 6.3 Financial crime

…

FEES 13.1 Application and purpose

As Published: 2017

FEES 13.1 Application and purpose

…

MAR 6.3A Quality of execution

As Published: 2017

MAR 6.3A Quality of execution

…

MAR 7A.5 Requirements when acting as a general clearing member

As Published: 2017

MAR 7A.5 Requirements when acting as a general clearing member

…

CASS 7.12 Organisational requirements: client money

As Published: 2017

CASS 7.12 Organisational requirements: client money

…

MAR 5.4 Finalisation of transactions

As Published: 2007

MAR 5.4 Finalisation of transactions

…

MAR 5.5 Monitoring compliance with the rules of the MTF

As Published: 2003

MAR 5.5 Monitoring compliance with the rules of the MTF

…

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

…

EG 7.6 Private warnings

As Published: 2015

EG 7.6 Private warnings

…

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

As Published: 2016

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

…

SYSC 4.5

As Published: 2015

SYSC 4.5

…

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