Search Result

81 - 100 of 725 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).

LR 14.3 Continuing obligations

As Published: 2006

LR 14.3 Continuing obligations

SUP 13A.1 Application and purpose

As Published: 2005

SUP 13A.1 Application and purpose

LR 9.2 Requirements with continuing application

As Published: 2006

LR 9.2 Requirements with continuing application

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 13.3 Establishing a branch in another EEA State

As Published: 2001

SUP 13.3 Establishing a branch in another EEA State

FEES 4.3 Periodic fee payable by firms (other than ICVCs and UCITS qualifiers)

As Published: 2006

FEES 4.3 Periodic fee payable by firms (other than ICVCs and UCITS qualifiers)

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 3.20 Disciplinary action relating to members

As Published: 2001

REC 3.20 Disciplinary action relating to members

REC 3.19 Investigations

As Published: 2001

REC 3.19 Investigations

REC 3.12 Legal proceedings

As Published: 2001

REC 3.12 Legal proceedings

BIPRU 7.10 Use of a Value at Risk Model

As Published: 2007

BIPRU 7.10 Use of a Value at Risk Model

REC 2.16 Complaints

As Published: 2004

REC 2.16 Complaints

DISP 1.1 Application and Purpose

As Published: 2001

DISP 1.1 Application and Purpose

SUP App 3.10 Mapping of Insurance Directives to the Regulated Activities Order

As Published: 2004

SUP App 3.10 Mapping of Insurance Directives to the Regulated Activities Order

LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

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

LR 8.6 Criteria for approval as a sponsor

As Published: 2005

LR 8.6 Criteria for approval as a sponsor

REC 3.21 Criminal offences and civil prohibitions

As Published: 2001

REC 3.21 Criminal offences and civil prohibitions

ICOB 8.4 Unsolicited services

As Published: 2004

ICOB 8.4 Unsolicited services