Search Result

201 - 220 of 584 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).

COLL 7.3 Winding up a solvent ICVC and terminating a sub-fund of an ICVC

As Published: 2004

COLL 7.3 Winding up a solvent ICVC and terminating a sub-fund of an ICVC

COND 2.1 Threshold condition 1: Legal status

As Published: 2002

COND 2.1 Threshold condition 1: Legal status

REC 2.2 Method of satisfying the recognition requirements

As Published: 2004

REC 2.2 Method of satisfying the recognition requirements

SUP 2.4 'Mystery shopping'

As Published: 2005

SUP 2.4 'Mystery shopping'

SYSC 3.2 Areas covered by systems and controls

As Published: 2002

SYSC 3.2 Areas covered by systems and controls

COB 11.8 Proper advice

As Published: 2001

COB 11.8 Proper advice

COB 9.1 These provisions have been moved to the Client Assets sourcebook (CASS)

As Published: 2002

COB 9.1 These provisions have been moved to the Client Assets sourcebook (CASS)

PERG 4.12 Appointed representatives

As Published: 2005

PERG 4.12 Appointed representatives

GEN 1.2 Referring to approval by the FSA

As Published: 2005

GEN 1.2 Referring to approval by the FSA

CASS 1.3 General application: where?

As Published: 2004

CASS 1.3 General application: where?

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

SUP 13A.7 Top-up permission

As Published: 2006

SUP 13A.7 Top-up permission

PERG 2.4 Link between activities and the United Kingdom

As Published: 2005

PERG 2.4 Link between activities and the United Kingdom

COB 8.1 Confirmation of transactions

As Published: 2001

COB 8.1 Confirmation of transactions

SUP 15.7 Form and method of notification

As Published: 2002

SUP 15.7 Form and method of notification

SUP 5.3 Policy on the use of skilled persons

As Published: 2005

SUP 5.3 Policy on the use of skilled persons

PERG 4.18 Regulated activities related to mortgages: flowchart

As Published: 2005

PERG 4.18 Regulated activities related to mortgages: flowchart

SUP 13.6 Changes to branches

As Published: 2001

SUP 13.6 Changes to branches

SUP 5.4 Appointment and reporting process

As Published: 2001

SUP 5.4 Appointment and reporting process

SUP 2.3 Information gathering by the FSA on its own initiative: cooperation by firms

As Published: 2001

SUP 2.3 Information gathering by the FSA on its own initiative: cooperation by firms