Search Result

41 - 60 of 666 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).

PERG 2.8 Exclusions applicable to particular regulated activities

As Published: 2005

PERG 2.8 Exclusions applicable to particular regulated activities

REC 3.4 Key individuals and internal organisation

As Published: 2001

REC 3.4 Key individuals and internal organisation

COLL 4.2 Pre-sale notifications

As Published: 2004

COLL 4.2 Pre-sale notifications

SUP 14.2 Changes to branch details

As Published: 2001

SUP 14.2 Changes to branch details

LR 9.2 Requirements with continuing application

As Published: 2005

LR 9.2 Requirements with continuing application

ICOB 8.4 Unsolicited services

As Published: 2004

ICOB 8.4 Unsolicited services

SUP App 3.9 Mapping of the Investment Services Directive , Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of the Investment Services Directive , Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

PERG 5.12 Link between activities and the United Kingdom

As Published: 2005

PERG 5.12 Link between activities and the United Kingdom

SUP 13A.3 Qualifications for authorisation under the Act

As Published: 2006

SUP 13A.3 Qualifications for authorisation under the Act

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

SUP 6.3 Applications for variation of permission

As Published: 2001

SUP 6.3 Applications for variation of permission

PERG 9.10 Significance of being an open-ended investment company

As Published: 2005

PERG 9.10 Significance of being an open-ended investment company

SUP 12.2 Introduction

As Published: 2001

SUP 12.2 Introduction

PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

COND 2.3 Threshold condition 3: Close links

As Published: 2004

COND 2.3 Threshold condition 3: Close links

PERG 8.14 Other financial promotions

As Published: 2005

PERG 8.14 Other financial promotions

REC 6.7 Notification rules for overseas recognised bodies

As Published: 2001

REC 6.7 Notification rules for overseas recognised bodies

FIT 1.3 Assessing fitness and propriety

As Published: 2003

FIT 1.3 Assessing fitness and propriety

REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

COLL 8.3 Investor relations

As Published: 2004

COLL 8.3 Investor relations