Search Result

581 - 600 of 640 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).

PR 5.1 Validity of prospectus

As Published: 2005

PR 5.1 Validity of prospectus

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

As Published: 2005

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

PRIN 3.3 Where?

As Published: 2002

PRIN 3.3 Where?

TC 1.2 Commitments

As Published: 2001

TC 1.2 Commitments

MCOB 1.5 Application to appointed representatives

As Published: 2004

MCOB 1.5 Application to appointed representatives

COB 12.1 Application

As Published: 2003

COB 12.1 Application

COB 7.1 Conflict of interest and material interest

As Published: 2001

COB 7.1 Conflict of interest and material interest

PERG 8.16 Financial promotions concerning funeral plans

As Published: 2005

PERG 8.16 Financial promotions concerning funeral plans

PERG 8.31 Exclusions for advising on investments

As Published: 2005

PERG 8.31 Exclusions for advising on investments

MCOB 8.1 Application

As Published: 2004

MCOB 8.1 Application

COLL 5.5 Cash, borrowing, lending and other provisions

As Published: 2004

COLL 5.5 Cash, borrowing, lending and other provisions

MAR 5.4 Requirements to be imposed on the Part IV permission of an ATS operator

As Published: 2004

MAR 5.4 Requirements to be imposed on the Part IV permission of an ATS operator

MAR 5.5 Parts of the Handbook applicable to the operation of an ATS

As Published: 2003

MAR 5.5 Parts of the Handbook applicable to the operation of an ATS

MAR 5.2 Guidance about what constitutes an ATS

As Published: 2004

MAR 5.2 Guidance about what constitutes an ATS

ICOB 2.1 Application: who?

As Published: 2005

ICOB 2.1 Application: who?

APER 3.2 Factors relating to all Statements of Principle

As Published: 2001

APER 3.2 Factors relating to all Statements of Principle

LR 10.1 Preliminary

As Published: 2005

LR 10.1 Preliminary

ICOB 7.2 Group policies and third party claimants

As Published: 2005

ICOB 7.2 Group policies and third party claimants

APER 3.3 Factors relating to Statements of Principle 5 to 7

As Published: 2001

APER 3.3 Factors relating to Statements of Principle 5 to 7

ICOB 2.4 Reliance on others

As Published: 2005

ICOB 2.4 Reliance on others