Search Result

81 - 120 of 884 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).

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

REC 2.6 General safeguards for investors

As Published: 2004

REC 2.6 General safeguards for investors

SYSC 6.1 Compliance

As Published: 2006

SYSC 6.1 Compliance

LR 9.8 Annual financial report

As Published: 2006

LR 9.8 Annual financial report

LR App 2.1 The provisions outlined in LR App 2.1 in relation to fees are set out in FEES 3 and 4

As Published: 2005

LR App 2.1 The provisions outlined in LR App 2.1 in relation to fees are set out in FEES 3 and 4

BIPRU 7.2 Interest rate PRR

As Published: 2007

BIPRU 7.2 Interest rate PRR

PERG 8.21 Company statements, announcements and briefings

As Published: 2005

PERG 8.21 Company statements, announcements and briefings

SYSC 1.4 Application of SYSC 11 to SYSC 18

As Published: 2006

SYSC 1.4 Application of SYSC 11 to SYSC 18

LR 15.6 Authorised property unit trusts

As Published: 2005

LR 15.6 Authorised property unit trusts

BIPRU 5.4 Financial collateral

As Published: 2006

BIPRU 5.4 Financial collateral

COLL 3.1 Introduction

As Published: 2004

COLL 3.1 Introduction

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

PR 3.1 Approval of prospectus

As Published: 2005

PR 3.1 Approval of prospectus

DTR 4.2 Half-yearly financial reports

As Published: 2007

DTR 4.2 Half-yearly financial reports

BIPRU 4.3 The IRB approach: Provisions common to different exposure classes

As Published: 2006

BIPRU 4.3 The IRB approach: Provisions common to different exposure classes

LR 9.6 Notifications

As Published: 2006

LR 9.6 Notifications

COB 2.3 Reliance on others

As Published: 2003

COB 2.3 Reliance on others

BIPRU 4.10 The IRB approach: Credit risk mitigation

As Published: 2006

BIPRU 4.10 The IRB approach: Credit risk mitigation

SUP 11.9 Changes in close links

As Published: 2004

SUP 11.9 Changes in close links

PR 2.1 General contents of prospectus

As Published: 2005

PR 2.1 General contents of prospectus

LR 8.6 Criteria for approval as a sponsor

As Published: 2005

LR 8.6 Criteria for approval as a sponsor

SYSC 12.1 Application

As Published: 2006

SYSC 12.1 Application

PERG 8.17 Financial promotions concerning agreements for qualifying credit

As Published: 2005

PERG 8.17 Financial promotions concerning agreements for qualifying credit

REC 6.7 Notification rules for overseas recognised bodies

As Published: 2001

REC 6.7 Notification rules for overseas recognised bodies

PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)

As Published: 2005

PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)

SUP 13.4 Providing cross border services into another EEA State

As Published: 2001

SUP 13.4 Providing cross border services into another EEA State

SYSC 4.2 Persons who effectively direct the business

As Published: 2002

SYSC 4.2 Persons who effectively direct the business

COLL 5.1 Introduction

As Published: 2004

COLL 5.1 Introduction

MCOB 1.2 General application: who? what?

As Published: 2005

MCOB 1.2 General application: who? what?

COB 6.1 Product disclosure

As Published: 2002

COB 6.1 Product disclosure

GEN 5.1 Application and purpose

As Published: 2003

GEN 5.1 Application and purpose

BIPRU 7.9 Use of a CAD 1 model

As Published: 2007

BIPRU 7.9 Use of a CAD 1 model

LR 10.8 Miscellaneous

As Published: 2005

LR 10.8 Miscellaneous

GEN 2.2 Interpreting the Handbook

As Published: 2004

GEN 2.2 Interpreting the Handbook

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

As Published: 2005

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

As Published: 2005

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

COLL 2.1 Authorised fund applications

As Published: 2004

COLL 2.1 Authorised fund applications

PERG 7.3 Does the activity require authorisation?

As Published: 2006

PERG 7.3 Does the activity require authorisation?

COLL 9.3 Section 270 and 272 recognised schemes

As Published: 2004

COLL 9.3 Section 270 and 272 recognised schemes

SUP 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets