Search Result

141 - 160 of 589 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).

COB 1.1 Application and Purpose

As Published: 2001

COB 1.1 Application and Purpose

COB 10.4 Suitability of the portfolio of an unregulated collective investment scheme

As Published: 2001

COB 10.4 Suitability of the portfolio of an unregulated collective investment scheme

COB 7.2 Churning and switching

As Published: 2001

COB 7.2 Churning and switching

SUP 8.9 Decision making

As Published: 2004

SUP 8.9 Decision making

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

As Published: 2004

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

SUP 16.10 Verification of standing data

As Published: 2004

SUP 16.10 Verification of standing data

SUP App 2.15 Run-off plans for closed with-profits funds

As Published: 2005

SUP App 2.15 Run-off plans for closed with-profits funds

COB 4.2 Terms of business and client agreements with customers

As Published: 2003

COB 4.2 Terms of business and client agreements with customers

REC 2.2 Method of satisfying the recognition requirements

As Published: 2004

REC 2.2 Method of satisfying the recognition requirements

DTR 1.4 Suspension of trading

As Published: 2005

DTR 1.4 Suspension of trading

SUP 3.8 Rights and duties of auditors

As Published: 2004

SUP 3.8 Rights and duties of auditors

COB 5.2 Know your customer

As Published: 2002

COB 5.2 Know your customer

COB 10.1 Application

As Published: 2001

COB 10.1 Application

GEN 1.2 Referring to approval by the FSA

As Published: 2001

GEN 1.2 Referring to approval by the FSA

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

As Published: 2005

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

SUP 15.5 Core information requirements

As Published: 2005

SUP 15.5 Core information requirements

PERG 9.3 The definition

As Published: 2005

PERG 9.3 The definition

LR 1.3 Information gathering and publication

As Published: 2005

LR 1.3 Information gathering and publication

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

As Published: 2004

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

PERG 8.1 Application and purpose

As Published: 2005

PERG 8.1 Application and purpose