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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).

APER 4.3 Statement of Principle 3

As Published: 2007

APER 4.3 Statement of Principle 3

…

EG 11.3 The FCA’s choice of powers

As Published: 2016

EG 11.3 The FCA’s choice of powers

…

DEPP 1.1 Application and Purpose

As Published: 2007

DEPP 1.1 Application and Purpose

…

CREDS 8.1 Application and purpose

As Published: 2011

CREDS 8.1 Application and purpose

…

FEES App 1 Annex 2 Further information on fees

As Published: 2019

FEES App 1 Annex 2 Further information on fees

…

PERG 8.11 Types of exemption under the Financial Promotion Order

As Published: 2005

PERG 8.11 Types of exemption under the Financial Promotion Order

…

MAR 10.3 Position management controls

As Published: 2017

MAR 10.3 Position management controls

…

SYSC 6.2 Internal audit

As Published: 2007

SYSC 6.2 Internal audit

…

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

As Published: 2017

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

…

REC 3.5 Disciplinary action and events relating to members of the management body

As Published: 2013

REC 3.5 Disciplinary action and events relating to members of the management body

…

REC 3.20 Disciplinary action relating to members

As Published: 2013

REC 3.20 Disciplinary action relating to members

…

RCB 3.2 Annual confirmations of compliance and asset pool monitor

As Published: 2011

RCB 3.2 Annual confirmations of compliance and asset pool monitor

…

SUP 10A.16 How to apply for approval and give notifications

As Published: 2014

SUP 10A.16 How to apply for approval and give notifications

…

EG 5.7 The relevance of settled cases to subsequent action

As Published: 2016

EG 5.7 The relevance of settled cases to subsequent action

…

DEPP 1.2 Introduction to statutory notices

As Published: 2011

DEPP 1.2 Introduction to statutory notices

…

REC 6.5 FCA decision on recognition

As Published: 2013

REC 6.5 FCA decision on recognition

…

EG 2.12 Co-operation

As Published: 2016

EG 2.12 Co-operation

…

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]

…

PERG 6.7 Examples

As Published: 2005

PERG 6.7 Examples

…

EG 16.4 The effect of a disapplication order

As Published: 2016

EG 16.4 The effect of a disapplication order

…

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