Search Result

121 - 140 of 378 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).

FIT 2.1 Honesty, integrity and reputation

As Published: 2003

FIT 2.1 Honesty, integrity and reputation

COND 2.2 Threshold condition 2: Location of offices

As Published: 2004

COND 2.2 Threshold condition 2: Location of offices

SUP 6.1 Application and purpose

As Published: 2004

SUP 6.1 Application and purpose

COLL 2.1 Authorised fund applications

As Published: 2004

COLL 2.1 Authorised fund applications

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

REC 6.6 Supervision

As Published: 2001

REC 6.6 Supervision

REC 3.19 Investigations

As Published: 2001

REC 3.19 Investigations

SYSC 3.2 Areas covered by systems and controls

As Published: 2002

SYSC 3.2 Areas covered by systems and controls

SUP 13.5 Notices of intention

As Published: 2001

SUP 13.5 Notices of intention

SYSC 4.2 Practical measures

As Published: 2002

SYSC 4.2 Practical measures

REC 3.18 Membership

As Published: 2001

REC 3.18 Membership

SUP 11.7 Acquisition or increase of control: approval procedures

As Published: 2004

SUP 11.7 Acquisition or increase of control: approval procedures

CRED 8.3 Version 1 credit unions

As Published: 2004

CRED 8.3 Version 1 credit unions

SUP 3.5 Auditors' independence

As Published: 2001

SUP 3.5 Auditors' independence

REC 2.9 Transaction recording

As Published: 2004

REC 2.9 Transaction recording

SUP 5.3 Policy on the use of skilled persons

As Published: 2001

SUP 5.3 Policy on the use of skilled persons

SUP 14.4 Notices of proposed changes: form and delivery

As Published: 2001

SUP 14.4 Notices of proposed changes: form and delivery

REC 2.12 Proper markets and disclosure of information (UK RIEs only)

As Published: 2004

REC 2.12 Proper markets and disclosure of information (UK RIEs only)

REC 3.5 Disciplinary action and events relating to key individuals

As Published: 2001

REC 3.5 Disciplinary action and events relating to key individuals

SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose