Search Result

61 - 80 of 577 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 4.3 Risk assessments for UK recognised bodies

As Published: 2001

REC 4.3 Risk assessments for UK recognised bodies

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

As Published: 2005

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

REC 4.6 The section 296 power to give directions

As Published: 2001

REC 4.6 The section 296 power to give directions

DISP App 1.1 Application and Purpose

As Published: 2002

DISP App 1.1 Application and Purpose

REC 3.7 Auditors

As Published: 2001

REC 3.7 Auditors

REC 3.9 Fees and incentive schemes

As Published: 2001

REC 3.9 Fees and incentive schemes

REC 3.12 Legal proceedings

As Published: 2001

REC 3.12 Legal proceedings

SUP 5.5 Duties of firms

As Published: 2001

SUP 5.5 Duties of firms

CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

DISP 3.5 Evidence

As Published: 2002

DISP 3.5 Evidence

ICOB 3.2 Application: who?

As Published: 2005

ICOB 3.2 Application: who?

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

REC 1.2 Purpose, status and statutoryquotations

As Published: 2004

REC 1.2 Purpose, status and statutoryquotations

APER 4.7 Statement of Principle 7

As Published: 2001

APER 4.7 Statement of Principle 7

MCOB 2.8 Record keeping

As Published: 2004

MCOB 2.8 Record keeping

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

SUP 4.3 Appointment of actuaries

As Published: 2004

SUP 4.3 Appointment of actuaries

SUP 13.4 Providing cross border services into another EEA State

As Published: 2001

SUP 13.4 Providing cross border services into another EEA State

COLL 4.5 Reports and accounts

As Published: 2004

COLL 4.5 Reports and accounts

REC 5.1 Introduction and legal background

As Published: 2001

REC 5.1 Introduction and legal background