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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).

GENPRU 3.1 Application

As Published: 2006

GENPRU 3.1 Application

…

REC 2A.4 Power and procedure for RAP penalties and censures

As Published: 2012

REC 2A.4 Power and procedure for RAP penalties and censures

…

FEES 6.5 Compensation costs

As Published: 2006

FEES 6.5 Compensation costs

…

EG 4.3 Notification where a particular person is not yet under investigation

As Published: 2016

EG 4.3 Notification where a particular person is not yet under investigation

…

CONC 15.1 Application

As Published: 2014

CONC 15.1 Application

…

DISP 1.3 Complaints handling rules

As Published: 2003

DISP 1.3 Complaints handling rules

…

EG 10.1 Introduction

As Published: 2016

EG 10.1 Introduction

…

COLL 5.3 Derivative exposure

As Published: 2005

COLL 5.3 Derivative exposure

…

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

…

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

As Published: 2016

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

…

EG 13.4 Petitions for administration orders or compulsory winding up orders: determining whether to seek any insolvency order

As Published: 2016

EG 13.4 Petitions for administration orders or compulsory winding up orders: determining whether to seek any insolvency order

…

PERG 12.6 Advising on conversion or transfer of pension benefits

As Published: 2015

PERG 12.6 Advising on conversion or transfer of pension benefits

…

COLL 7.6 Schemes of arrangement

As Published: 2011

COLL 7.6 Schemes of arrangement

…

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

…

SYSC 10.2 Chinese walls

As Published: 2007

SYSC 10.2 Chinese walls

…

REC 3.13 Delegation of relevant functions

As Published: 2011

REC 3.13 Delegation of relevant functions

…

REC 2.15 Discipline

As Published: 2004

REC 2.15 Discipline

…

DEPP 7.1 Application and purpose

As Published: 2007

DEPP 7.1 Application and purpose

…

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation [deleted]

As Published: 2016

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation [deleted]

…

GEN 4.4 Business for retail clients from non-UK offices

As Published: 2004

GEN 4.4 Business for retail clients from non-UK offices

…

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