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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).

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

As Published: 2007

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

…

DISP 3.5 Resolution of complaints by the Ombudsman

As Published: 2008

DISP 3.5 Resolution of complaints by the Ombudsman

…

FEES 2.3 Relieving Provisions

As Published: 2006

FEES 2.3 Relieving Provisions

…

BIPRU 2.3 Interest rate risk in the non-trading book

As Published: 2006

BIPRU 2.3 Interest rate risk in the non-trading book

…

IPRU-INV 5.1 Application

As Published: 2016

IPRU-INV 5.1 Application

…

INSPRU 1.5 Internal-contagion risk

As Published: 2006

INSPRU 1.5 Internal-contagion risk

…

SUP 10A.10 Customer-dealing functions

As Published: 2014

SUP 10A.10 Customer-dealing functions

…

COLL 8.6 Termination, suspension, and schemes of arrangement

As Published: 2008

COLL 8.6 Termination, suspension, and schemes of arrangement

…

DISP 4.2 Standard terms

As Published: 2005

DISP 4.2 Standard terms

…

REC 2.16 Complaints

As Published: 2004

REC 2.16 Complaints

…

IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A PERSONAL INVESTMENT FIRM

As Published: 2015

IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A PERSONAL INVESTMENT FIRM

…

IPRU-INV 11.1 INTRODUCTION

As Published: 2019

IPRU-INV 11.1 INTRODUCTION

…

COBS 11.7 Personal account dealing

As Published: 2007

COBS 11.7 Personal account dealing

…

CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

…

REC 5.2 Application process

As Published: 2007

REC 5.2 Application process

…

FEES 4.1 Introduction

As Published: 2005

FEES 4.1 Introduction

…

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

…

SYSC 1.4 Application of SYSC 11 to 28A

As Published: 2006

SYSC 1.4 Application of SYSC 11 to 28A

…

REC 2.1 Introduction

As Published: 2005

REC 2.1 Introduction

…

CASS 11.3 Responsibility for CASS operational oversight

As Published: 2015

CASS 11.3 Responsibility for CASS operational oversight

…

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