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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).

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

…

LR 8.4 Role of a sponsor: transactions

As Published: 2007

LR 8.4 Role of a sponsor: transactions

…

DISP 1.2 Consumer awareness rules

As Published: 2003

DISP 1.2 Consumer awareness rules

…

LR 19.4 Continuing obligations

As Published: 2006

LR 19.4 Continuing obligations

…

DEPP 7.2 Interviews

As Published: 2009

DEPP 7.2 Interviews

…

IPRU-INV 5.11 Position risk requirement

As Published: 2016

IPRU-INV 5.11 Position risk requirement

…

SUP 15.14 Notifications under the Payment Services Regulations

As Published: 2018

SUP 15.14 Notifications under the Payment Services Regulations

…

LR 14.3 Continuing obligations

As Published: 2006

LR 14.3 Continuing obligations

…

PERG 5.15 Illustrative tables

As Published: 2005

PERG 5.15 Illustrative tables

…

EG 19.34 Markets in Financial Instruments Regulations 2017

As Published: 2017

EG 19.34 Markets in Financial Instruments Regulations 2017

…

MCOB 4.10 Home purchase plans: sales standards

As Published: 2006

MCOB 4.10 Home purchase plans: sales standards

…

REC 2.12 Availability of relevant information and admission of financial instruments to trading

As Published: 2004

REC 2.12 Availability of relevant information and admission of financial instruments to trading

…

MAR 1.6 Manipulating transactions

As Published: 2005

MAR 1.6 Manipulating transactions

…

MCOB 2.8 Record keeping

As Published: 2006

MCOB 2.8 Record keeping

…

MCOB 13.3 Dealing fairly with customers with a payment shortfall: policy and procedures

As Published: 2006

MCOB 13.3 Dealing fairly with customers with a payment shortfall: policy and procedures

…

REC 6.2 Applications

As Published: 2007

REC 6.2 Applications

…

PERG 16.5 How AIFMD affects other regulated activities

As Published: 2019

PERG 16.5 How AIFMD affects other regulated activities

…

COLL 11.2 Approval of a feeder UCITS

As Published: 2014

COLL 11.2 Approval of a feeder UCITS

…

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]

As Published: 2016

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]

…

SUP 5.3 Policy on the use of skilled persons

As Published: 2005

SUP 5.3 Policy on the use of skilled persons

…

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