Search Result

201 - 220 of 370 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 3.6 Constitution and governance

As Published: 2001

REC 3.6 Constitution and governance

SUP 2.4 'Mystery shopping'

As Published: 2001

SUP 2.4 'Mystery shopping'

GEN 6.1 Insurance against financial penalties

As Published: 2003

GEN 6.1 Insurance against financial penalties

PRIN 3.4 General

As Published: 2004

PRIN 3.4 General

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

As Published: 2004

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

FIT 2.2 Competence and capability

As Published: 2001

FIT 2.2 Competence and capability

REC 4.6 The section 296 power to give directions

As Published: 2001

REC 4.6 The section 296 power to give directions

FIT 2.3 Financial soundness

As Published: 2001

FIT 2.3 Financial soundness

SUP 9.1 Application and purpose

As Published: 2001

SUP 9.1 Application and purpose

SUP 5.1 Application and purpose

As Published: 2001

SUP 5.1 Application and purpose

REC 3.16 Information technology systems

As Published: 2001

REC 3.16 Information technology systems

REC 4.2 The supervisory relationship with UK recognised bodies

As Published: 2001

REC 4.2 The supervisory relationship with UK recognised bodies

REC 4.3 Risk assessments for UK recognised bodies

As Published: 2001

REC 4.3 Risk assessments for UK recognised bodies

SUP 8.8 Revoking waivers

As Published: 2001

SUP 8.8 Revoking waivers

REC 3.13 Delegation of relevant functions

As Published: 2001

REC 3.13 Delegation of relevant functions

SUP 8.1 Application and purpose

As Published: 2003

SUP 8.1 Application and purpose

DISP 3.3 Dismissal of complaints without consideration of the merits

As Published: 2004

DISP 3.3 Dismissal of complaints without consideration of the merits

COLL 3.3 Units

As Published: 2004

COLL 3.3 Units

SUP 6.5 Ending authorisation

As Published: 2001

SUP 6.5 Ending authorisation

COND 2.3 Threshold condition 3: Close links

As Published: 2004

COND 2.3 Threshold condition 3: Close links