Search Result

61 - 80 of 400 items.
Results filter

Search Term(s)

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

REC 5.2 Application process

As Published: 2001

REC 5.2 Application process

PRIN 3.1 Who?

As Published: 2001

PRIN 3.1 Who?

APER 4.4 Statement of Principle 4

As Published: 2001

APER 4.4 Statement of Principle 4

SUP 3.8 Rights and duties of auditors

As Published: 2004

SUP 3.8 Rights and duties of auditors

SUP 11.9 Changes in close links

As Published: 2004

SUP 11.9 Changes in close links

COB 4.1 Client classification

As Published: 2001

COB 4.1 Client classification

REC 4.3 Risk assessments for UK recognised bodies

As Published: 2001

REC 4.3 Risk assessments for UK recognised bodies

GEN 6.1 Insurance against financial penalties

As Published: 2003

GEN 6.1 Insurance against financial penalties

MAR 4.3 Further Support of the Takeover Panel's Functions

As Published: 2001

MAR 4.3 Further Support of the Takeover Panel's Functions

SUP 15.9 Notifications by members of financial conglomerates

As Published: 2004

SUP 15.9 Notifications by members of financial conglomerates

COB 2.4 Chinese walls

As Published: 2001

COB 2.4 Chinese walls

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

CASS 5.1 Application

As Published: 2004

CASS 5.1 Application

SUP 8.3 Applying for a waiver

As Published: 2002

SUP 8.3 Applying for a waiver

SUP 5.1 Application and purpose

As Published: 2001

SUP 5.1 Application and purpose

SYSC 3.2 Areas covered by systems and controls

As Published: 2002

SYSC 3.2 Areas covered by systems and controls

SYSC 4.1 Application and purpose

As Published: 2002

SYSC 4.1 Application and purpose

REC 4.8 The section 298 procedure

As Published: 2001

REC 4.8 The section 298 procedure

SUP 2.4 'Mystery shopping'

As Published: 2001

SUP 2.4 'Mystery shopping'

REC 6.7 Notification rules for overseas recognised bodies

As Published: 2001

REC 6.7 Notification rules for overseas recognised bodies