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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).

EG App 3.3 SFO

As Published: 2016

EG App 3.3 SFO

…

DISP 3.5 Resolution of complaints by the Ombudsman

As Published: 2008

DISP 3.5 Resolution of complaints by the Ombudsman

…

LR 8.2 When a sponsor must be appointed or its guidance obtained

As Published: 2007

LR 8.2 When a sponsor must be appointed or its guidance obtained

…

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

As Published: 2007

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

…

SUP 15.1 Application

As Published: 2002

SUP 15.1 Application

…

COLL 6.6A Duties of AFMs in relation to UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes

…

LR 9.7A Preliminary statement of annual results, and statement of dividends

As Published: 2006

LR 9.7A Preliminary statement of annual results, and statement of dividends

…

PERG 8.7 Engage in investment activity

As Published: 2011

PERG 8.7 Engage in investment activity

…

CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators

As Published: 2018

CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators

…

APER 4.5 Statement of Principle 5

As Published: 2008

APER 4.5 Statement of Principle 5

…

CONC 6.8 Post contract business practices: credit brokers

As Published: 2014

CONC 6.8 Post contract business practices: credit brokers

…

COLL 8.1 Introduction

As Published: 2007

COLL 8.1 Introduction

…

PERG 15.5 Negative scope/exclusions

As Published: 2015

PERG 15.5 Negative scope/exclusions

…

CONC 7.6 Exercise of continuous payment authority

As Published: 2014

CONC 7.6 Exercise of continuous payment authority

…

PERG 13.6 CRD IV [deleted]

As Published: 2007

PERG 13.6 CRD IV [deleted]

…

COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

…

LR App 1.1 Relevant definitions

As Published: 2005

LR App 1.1 Relevant definitions

…

SUP 10A.12 Procedures relating to FCA-approved persons

As Published: 2014

SUP 10A.12 Procedures relating to FCA-approved persons

…

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures

As Published: 2013

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures

…

GENPRU 2.1 Calculation of capital resources requirements

As Published: 2006

GENPRU 2.1 Calculation of capital resources requirements

…

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