Search Result

321 - 340 of 783 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 5.1 Application and purpose

As Published: 2005

PERG 5.1 Application and purpose

SUP 16.9 Appointed representatives annual report

As Published: 2002

SUP 16.9 Appointed representatives annual report

PERG 13.7 The territorial application of MiFID

As Published: 2007

PERG 13.7 The territorial application of MiFID

SUP 16.1 Application

As Published: 2001

SUP 16.1 Application

DTR 1A.3 FSA may require the publication of information

As Published: 2007

DTR 1A.3 FSA may require the publication of information

MAR 6.2 Purpose

As Published: 2007

MAR 6.2 Purpose

DEPP 6.4 Financial penalty or public censure

As Published: 2007

DEPP 6.4 Financial penalty or public censure

FEES 6.4 Management expenses

As Published: 2006

FEES 6.4 Management expenses

BIPRU 7.9 Use of a CAD 1 model

As Published: 2007

BIPRU 7.9 Use of a CAD 1 model

SUP 3.3 Appointment of auditors

As Published: 2004

SUP 3.3 Appointment of auditors

FEES 5.4 Information requirement

As Published: 2007

FEES 5.4 Information requirement

COBS 4.12 Unregulated collective investment schemes

As Published: 2007

COBS 4.12 Unregulated collective investment schemes

DISP 1.9 Complaints record rule

As Published: 2007

DISP 1.9 Complaints record rule

COBS 9.3 Guidance on assessing suitability

As Published: 2007

COBS 9.3 Guidance on assessing suitability

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

As Published: 2004

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

PR App 3.1

As Published: 2005

PR App 3.1

COBS 16.4 Statements of client designated investments or client money

As Published: 2007

COBS 16.4 Statements of client designated investments or client money

FIT 1.3 Assessing fitness and propriety

As Published: 2003

FIT 1.3 Assessing fitness and propriety

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

As Published: 2006

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

SYSC 6.1 Compliance

As Published: 2006

SYSC 6.1 Compliance