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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 7.16 The standard methods of internal client money reconciliation

As Published: 2014

CASS 7.16 The standard methods of internal client money reconciliation

…

SYSC 9.1 General rules on record-keeping

As Published: 2007

SYSC 9.1 General rules on record-keeping

…

CASS 6.7 Treatment of custody assets after a failure

As Published: 2017

CASS 6.7 Treatment of custody assets after a failure

…

COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)

As Published: 2007

COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)

…

COBS 6.1C Consultancy charging and remuneration

As Published: 2010

COBS 6.1C Consultancy charging and remuneration

…

COBS 9.6 Special rules for giving basic advice on a stakeholder product

As Published: 2007

COBS 9.6 Special rules for giving basic advice on a stakeholder product

…

DISP 1.1 Purpose and application

As Published: 2001

DISP 1.1 Purpose and application

…

CASS 6.4 Use of safe custody assets

As Published: 2007

CASS 6.4 Use of safe custody assets

…

COBS 20.2 Treating with-profits policyholders fairly

As Published: 2009

COBS 20.2 Treating with-profits policyholders fairly

…

COBS 9.2 Assessing suitability

As Published: 2007

COBS 9.2 Assessing suitability

…

COBS 19.1 Pension transfers, conversions, and opt-outs

As Published: 2007

COBS 19.1 Pension transfers, conversions, and opt-outs

…

DISP 1.11 The Society of Lloyd's

As Published: 2010

DISP 1.11 The Society of Lloyd's

…

COBS 6.1E Platform services: platform charges and using a platform service for advising

As Published: 2011

COBS 6.1E Platform services: platform charges and using a platform service for advising

…

COBS 4.7 Direct offer financial promotions

As Published: 2007

COBS 4.7 Direct offer financial promotions

…

COBS 9.4 Suitability reports

As Published: 2007

COBS 9.4 Suitability reports

…

COBS 3.4 Retail clients

As Published: 2017

COBS 3.4 Retail clients

…

COBS 14.2 Providing product information to clients

As Published: 2007

COBS 14.2 Providing product information to clients

…

COLL 5.2 General investment powers and limits for UCITS schemes

As Published: 2005

COLL 5.2 General investment powers and limits for UCITS schemes

…

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

As Published: 2010

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

…

COBS 12.2 Investment research and non-independent research

As Published: 2007

COBS 12.2 Investment research and non-independent research

…

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