Search Result

41 - 60 of 548 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).

REC 6.7 Notification rules for overseas recognised bodies

As Published: 2001

REC 6.7 Notification rules for overseas recognised bodies

MIPRU 4.2 Capital resources requirements

As Published: 2006

MIPRU 4.2 Capital resources requirements

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

FEES 4.2 Obligation to pay periodic fees

As Published: 2006

FEES 4.2 Obligation to pay periodic fees

PERG 10.5 Employers and affinity groups (such as trade unions)

As Published: 2006

PERG 10.5 Employers and affinity groups (such as trade unions)

BIPRU 1.3 Applications for advanced approaches

As Published: 2006

BIPRU 1.3 Applications for advanced approaches

SUP 6.3 Applications for variation of permission

As Published: 2001

SUP 6.3 Applications for variation of permission

SUP 13A.9 The precautionary measure rule for incoming EEA firms

As Published: 2007

SUP 13A.9 The precautionary measure rule for incoming EEA firms

CASS 5.6 Client money distribution

As Published: 2004

CASS 5.6 Client money distribution

CASS 6.3 Depositing assets with third parties

As Published: 2007

CASS 6.3 Depositing assets with third parties

DISP 2.3 Time Limits for referral of complaints to the Financial Ombudsman Service

As Published: 2003

DISP 2.3 Time Limits for referral of complaints to the Financial Ombudsman Service

PERG 5.15 Illustrative tables

As Published: 2005

PERG 5.15 Illustrative tables

COND 1.2 Purpose

As Published: 2007

COND 1.2 Purpose

PERG 8.4 Invitation or inducement

As Published: 2005

PERG 8.4 Invitation or inducement

PERG 8.7 Engage in investment activity

As Published: 2005

PERG 8.7 Engage in investment activity

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

SUP 13.7 Changes to cross border services

As Published: 2001

SUP 13.7 Changes to cross border services

PERG 4.5 Arranging regulated mortgage contracts

As Published: 2005

PERG 4.5 Arranging regulated mortgage contracts

COBS 2.3 Inducements

As Published: 2007

COBS 2.3 Inducements

COND 2.5 Threshold condition 5: Suitability

As Published: 2004

COND 2.5 Threshold condition 5: Suitability