Search Result

121 - 140 of 445 items.

Search Term(s)

Filter by Topics

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).

PERG 8.7 Engage in investment activity

As Published: 2005

PERG 8.7 Engage in investment activity

…

PERG 2.2 Introduction

As Published: 2005

PERG 2.2 Introduction

…

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

…

REC 2.13 Promotion and maintenance of standards

As Published: 2004

REC 2.13 Promotion and maintenance of standards

…

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

…

COB 7.2 Churning and switching

As Published: 2001

COB 7.2 Churning and switching

…

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

…

SUP 13.11 Record keeping

As Published: 2001

SUP 13.11 Record keeping

…

PERG 5.13 Appointed representatives

As Published: 2005

PERG 5.13 Appointed representatives

…

PERG 8.32 Arranging deals in investments

As Published: 2005

PERG 8.32 Arranging deals in investments

…

COB 8.1 Confirmation of transactions

As Published: 2001

COB 8.1 Confirmation of transactions

…

CASS 5.1 Application

As Published: 2004

CASS 5.1 Application

…

DISP App 1.5 Determination of complaints

As Published: 2002

DISP App 1.5 Determination of complaints

…

REC 1.2 Purpose, status and statutoryquotations

As Published: 2004

REC 1.2 Purpose, status and statutoryquotations

…

PERG 4.13 Other exemptions

As Published: 2005

PERG 4.13 Other exemptions

…

SUP 17.3 Introduction

As Published: 2001

SUP 17.3 Introduction

…

REC 2.2 Method of satisfying the recognition requirements

As Published: 2004

REC 2.2 Method of satisfying the recognition requirements

…

COLL 1.1 Applications and purpose

As Published: 2004

COLL 1.1 Applications and purpose

…

SUP 11.3 Requirements on controllers or proposed controllers under the Act

As Published: 2001

SUP 11.3 Requirements on controllers or proposed controllers under the Act

…

SYSC 3.1 Systems and Controls

As Published: 2001

SYSC 3.1 Systems and Controls

…