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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).

MCOB 4.11 Sale and rent back: advising and selling standards

As Published: 2010

MCOB 4.11 Sale and rent back: advising and selling standards

…

CASS 9.4 Information to clients concerning custody assets and client money

As Published: 2014

CASS 9.4 Information to clients concerning custody assets and client money

…

CASS 9.5 Reporting to clients on request

As Published: 2014

CASS 9.5 Reporting to clients on request

…

ICOBS 7.1 The right to cancel

As Published: 2007

ICOBS 7.1 The right to cancel

…

EG 7.2 Alternatives to sanctions

As Published: 2015

EG 7.2 Alternatives to sanctions

…

COBS 15.5 Special situations

As Published: 2007

COBS 15.5 Special situations

…

MCOB 2.8 Record keeping

As Published: 2006

MCOB 2.8 Record keeping

…

DISP App 3.7 Approach to redress at step 1

As Published: 2011

DISP App 3.7 Approach to redress at step 1

…

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

As Published: 2012

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

…

COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS

As Published: 2017

COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS

…

CASS 7A.2 Primary pooling events

As Published: 2012

CASS 7A.2 Primary pooling events

…

CONC 7.6 Exercise of continuous payment authority

As Published: 2014

CONC 7.6 Exercise of continuous payment authority

…

ICOBS 3.2 E-Commerce

As Published: 2013

ICOBS 3.2 E-Commerce

…

BIPRU 7.9 Use of a CAD 1 model

As Published: 2019

BIPRU 7.9 Use of a CAD 1 model

…

REC 3.6 Constitution and governance

As Published: 2013

REC 3.6 Constitution and governance

…

PERG 5.12 Link between activities and the United Kingdom

As Published: 2005

PERG 5.12 Link between activities and the United Kingdom

…

COBS 12.2 Investment research and non-independent research

As Published: 2007

COBS 12.2 Investment research and non-independent research

…

BIPRU 12.3 Liquidity risk management

As Published: 2010

BIPRU 12.3 Liquidity risk management

…

REC 3.21 Criminal offences and civil prohibitions

As Published: 2013

REC 3.21 Criminal offences and civil prohibitions

…

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]

As Published: 2016

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]

…

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