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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).

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

As Published: 2007

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

…

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

…

MIPRU 2.3 Knowledge, ability and good repute [deleted]

As Published: 2007

MIPRU 2.3 Knowledge, ability and good repute [deleted]

…

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

…

SUP 5.6 Confidential information and privilege

As Published: 2016

SUP 5.6 Confidential information and privilege

…

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

As Published: 2010

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

…

MAR 5A.4 Trading process requirements

As Published: 2017

MAR 5A.4 Trading process requirements

…

PERG 16.3 Managing an AIF

As Published: 2019

PERG 16.3 Managing an AIF

…

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

…

IPRU-INV 12.1 APPLICATION AND PURPOSE

As Published: 2017

IPRU-INV 12.1 APPLICATION AND PURPOSE

…

COBS 4.7 Direct offer financial promotions

As Published: 2007

COBS 4.7 Direct offer financial promotions

…

LR 3.3 Shares

As Published: 2007

LR 3.3 Shares

…

LR 10.8 Miscellaneous

As Published: 2007

LR 10.8 Miscellaneous

…

DTR 8.5 Supervision of primary information providers

As Published: 2014

DTR 8.5 Supervision of primary information providers

…

PERG 8.31 Exclusions for advising on investments

As Published: 2007

PERG 8.31 Exclusions for advising on investments

…

IPRU-INV 5.9 Liquid Capital Requirement for firms whose permitted business includes establishing, operating or winding up a personal pension scheme

As Published: 2016

IPRU-INV 5.9 Liquid Capital Requirement for firms whose permitted business includes establishing, operating or winding up a personal pension scheme

…

PERG 10.2 General issues

As Published: 2006

PERG 10.2 General issues

…

LR 9.2 Requirements with continuing application

As Published: 2006

LR 9.2 Requirements with continuing application

…

LR 19.4 Continuing obligations

As Published: 2006

LR 19.4 Continuing obligations

…

PERG 9.11 Frequently Asked Questions

As Published: 2005

PERG 9.11 Frequently Asked Questions

…

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