Search Result

121 - 140 of 560 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).

BIPRU 7.7 Position risk requirements for collective investment undertakings

As Published: 2007

BIPRU 7.7 Position risk requirements for collective investment undertakings

COBS 11.5 Record keeping: client orders and transactions

As Published: 2007

COBS 11.5 Record keeping: client orders and transactions

COBS 16.1 General client reporting requirement

As Published: 2007

COBS 16.1 General client reporting requirement

MCOB 1.3 General application: where?

As Published: 2004

MCOB 1.3 General application: where?

CASS 5.1 Application

As Published: 2004

CASS 5.1 Application

PERG 8.31 Exclusions for advising on investments

As Published: 2007

PERG 8.31 Exclusions for advising on investments

CASS 6.4 Use of financial instruments

As Published: 2007

CASS 6.4 Use of financial instruments

SUP 17.1 Application

As Published: 2007

SUP 17.1 Application

COLL 6.2 Dealing

As Published: 2005

COLL 6.2 Dealing

SUP App 3.3 Background

As Published: 2004

SUP App 3.3 Background

CASS 3.2 Requirements

As Published: 2003

CASS 3.2 Requirements

CASS 5.6 Client money distribution

As Published: 2004

CASS 5.6 Client money distribution

FEES 6.7 Payment of levies

As Published: 2006

FEES 6.7 Payment of levies

PERG 5.11 Other aspects of exclusions

As Published: 2006

PERG 5.11 Other aspects of exclusions

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

COBS 18.9 ICVCs

As Published: 2007

COBS 18.9 ICVCs

COBS 18.4 Stock lending activity

As Published: 2007

COBS 18.4 Stock lending activity

COBS 18.10 UCITS qualifiers and service companies

As Published: 2007

COBS 18.10 UCITS qualifiers and service companies

ICOB 6.4 Effects of cancellation

As Published: 2004

ICOB 6.4 Effects of cancellation

COLL 4.3 Approvals and notifications

As Published: 2006

COLL 4.3 Approvals and notifications