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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).

CASS 6.7 Treatment of custody assets after a failure

As Published: 2017

CASS 6.7 Treatment of custody assets after a failure

…

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

As Published: 2005

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

…

COCON 2.1 Individual conduct rules

As Published: 2015

COCON 2.1 Individual conduct rules

…

FEES App 1.2 Periodic Fees

As Published: 2012

FEES App 1.2 Periodic Fees

…

REC 3.1 Application and purpose

As Published: 2011

REC 3.1 Application and purpose

…

CONC 6.2 Assessment of creditworthiness: during agreement [deleted]

As Published: 2014

CONC 6.2 Assessment of creditworthiness: during agreement [deleted]

…

INSPRU 1.5 Internal-contagion risk

As Published: 2006

INSPRU 1.5 Internal-contagion risk

…

REC 3.9 Fees and incentive schemes

As Published: 2013

REC 3.9 Fees and incentive schemes

…

COLL 8.3 Investor relations

As Published: 2006

COLL 8.3 Investor relations

…

COBS 11.6 Use of dealing commission [deleted]

As Published: 2007

COBS 11.6 Use of dealing commission [deleted]

…

COBS 6.1F Using a platform service for arranging and advising

As Published: 2011

COBS 6.1F Using a platform service for arranging and advising

…

REC 2.1 Introduction

As Published: 2005

REC 2.1 Introduction

…

COBS 4.2 Fair, clear and not misleading communications

As Published: 2007

COBS 4.2 Fair, clear and not misleading communications

…

MAR 1.3 Insider dealing

As Published: 2005

MAR 1.3 Insider dealing

…

CASS 8.3 Records and internal controls

As Published: 2014

CASS 8.3 Records and internal controls

…

SYSC 22.5 Giving references: additional rules and guidance for all firms

As Published: 2016

SYSC 22.5 Giving references: additional rules and guidance for all firms

…

MAR 1.6 Manipulating transactions

As Published: 2005

MAR 1.6 Manipulating transactions

…

MAR 5.3A Systems and controls for algorithmic trading

As Published: 2017

MAR 5.3A Systems and controls for algorithmic trading

…

MAR 5A.5 Systems and controls for algorithmic trading

As Published: 2017

MAR 5A.5 Systems and controls for algorithmic trading

…

EG 13.3 Petitions for administration orders or compulsory winding up orders: determining whether a company or partnership is unable to pay its debts

As Published: 2016

EG 13.3 Petitions for administration orders or compulsory winding up orders: determining whether a company or partnership is unable to pay its debts

…

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