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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 6.3 Recognition requirements

As Published: 2004

REC 6.3 Recognition requirements

…

REC 4.6 The section 296 power to give directions

As Published: 2007

REC 4.6 The section 296 power to give directions

…

PERG 13.3 Investment Services and Activities

As Published: 2012

PERG 13.3 Investment Services and Activities

…

DTR 6.3 Dissemination of information

As Published: 2007

DTR 6.3 Dissemination of information

…

REC 4.1 Application and purpose

As Published: 2007

REC 4.1 Application and purpose

…

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

…

BIPRU 7.9 Use of a CAD 1 model

As Published: 2019

BIPRU 7.9 Use of a CAD 1 model

…

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

As Published: 2005

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

…

BIPRU 7.11 Credit derivatives in the trading book

As Published: 2007

BIPRU 7.11 Credit derivatives in the trading book

…

PERG 2.5 Investments and activities: general

As Published: 2006

PERG 2.5 Investments and activities: general

…

MAR 5A.9 Suspension and removal of financial instruments

As Published: 2017

MAR 5A.9 Suspension and removal of financial instruments

…

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

As Published: 2006

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

…

REC 3.7 Auditors

As Published: 2013

REC 3.7 Auditors

…

COLL 12.4 UCITS product passport

As Published: 2013

COLL 12.4 UCITS product passport

…

RCB 3.2 Annual confirmations of compliance and asset pool monitor

As Published: 2011

RCB 3.2 Annual confirmations of compliance and asset pool monitor

…

SYSC 21.1 Risk control: guidance on governance arrangements

As Published: 2010

SYSC 21.1 Risk control: guidance on governance arrangements

…

SYSC 5.1 Skills, knowledge and expertise

As Published: 2006

SYSC 5.1 Skills, knowledge and expertise

…

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

…

CASS 6.6 Records, accounts and reconciliations

As Published: 2014

CASS 6.6 Records, accounts and reconciliations

…

BIPRU 11.5 Technical criteria on disclosure: General requirements

As Published: 2007

BIPRU 11.5 Technical criteria on disclosure: General requirements

…

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