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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 9.3 Giving individual guidance to a firm on the FCA's own initiative

As Published: 2004

SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative

…

BIPRU 12.1 Application

As Published: 2009

BIPRU 12.1 Application

…

EG 3.7 Investigations to assist overseas authorities (section 169)

As Published: 2016

EG 3.7 Investigations to assist overseas authorities (section 169)

…

EG 2.15 Decision making in the context of regulatory enforcement action

As Published: 2016

EG 2.15 Decision making in the context of regulatory enforcement action

…

REC 6.5 FCA decision on recognition

As Published: 2013

REC 6.5 FCA decision on recognition

…

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

…

PERG 4.1 Application and purpose

As Published: 2006

PERG 4.1 Application and purpose

…

CONC 4.3 Pre-contractual requirements and adequate explanations: P2P agreements

As Published: 2015

CONC 4.3 Pre-contractual requirements and adequate explanations: P2P agreements

…

CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

…

CONC 2.7 Distance marketing

As Published: 2014

CONC 2.7 Distance marketing

…

LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

…

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

…

SYSC 4.5

As Published: 2015

SYSC 4.5

…

SUP 3.8 Rights and duties of auditors

As Published: 2004

SUP 3.8 Rights and duties of auditors

…

MAR 5A.1 Application

As Published: 2017

MAR 5A.1 Application

…

EG 2.2 Case selection and referral criteria

As Published: 2015

EG 2.2 Case selection and referral criteria

…

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

As Published: 2015

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

…

SUP 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

…

EG 7.6 Private warnings

As Published: 2015

EG 7.6 Private warnings

…

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

…

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