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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).

FEES 6.5 Compensation costs

As Published: 2006

FEES 6.5 Compensation costs

…

EG 18.1 Cancellation on the FCA’s own-initiative

As Published: 2016

EG 18.1 Cancellation on the FCA’s own-initiative

…

MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

…

SUP 15.4 Notified persons

As Published: 2006

SUP 15.4 Notified persons

…

GEN 4.2 Purpose

As Published: 2003

GEN 4.2 Purpose

…

COBS 11.7 Personal account dealing

As Published: 2007

COBS 11.7 Personal account dealing

…

LR 6.6 Control of the business

As Published: 2017

LR 6.6 Control of the business

…

SUP 10C.11 Statements of responsibilities

As Published: 2015

SUP 10C.11 Statements of responsibilities

…

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

…

SUP 6.5 Ending authorisation

As Published: 2001

SUP 6.5 Ending authorisation

…

SUP 15.12 Ongoing alerts for retail adviser complaints

As Published: 2015

SUP 15.12 Ongoing alerts for retail adviser complaints

…

SYSC 4.5

As Published: 2015

SYSC 4.5

…

BIPRU 5.3 On balance sheet netting

As Published: 2007

BIPRU 5.3 On balance sheet netting

…

CONC 10.2 Prudential resources requirements

As Published: 2014

CONC 10.2 Prudential resources requirements

…

MAR 1.4 Unlawful disclosure

As Published: 2001

MAR 1.4 Unlawful disclosure

…

MAR 7A.4 Requirements when providing direct electronic access

As Published: 2017

MAR 7A.4 Requirements when providing direct electronic access

…

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

…

FEES 9.2 PSR fees

As Published: 2015

FEES 9.2 PSR fees

…

FEES 13.1 Application and purpose

As Published: 2017

FEES 13.1 Application and purpose

…

MAR 5.6 Reporting requirements

As Published: 2007

MAR 5.6 Reporting requirements

…

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