Search Result

121 - 140 of 825 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).

PRIN 3.1 Who?

As Published: 2007

PRIN 3.1 Who?

SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

PERG 5.13 Appointed representatives

As Published: 2005

PERG 5.13 Appointed representatives

SUP 15.8 Notification in respect of particular products and services

As Published: 2001

SUP 15.8 Notification in respect of particular products and services

SUP 7.3 Criteria for varying a firm's permission

As Published: 2004

SUP 7.3 Criteria for varying a firm's permission

SUP 13.2 Introduction

As Published: 2001

SUP 13.2 Introduction

LR 8.6 Criteria for approval as a sponsor

As Published: 2005

LR 8.6 Criteria for approval as a sponsor

COLL 4.2 Pre-sale notifications

As Published: 2006

COLL 4.2 Pre-sale notifications

CRED 2.2 Structure

As Published: 2007

CRED 2.2 Structure

REC 4.2C Control over a UK RIE

As Published: 2007

REC 4.2C Control over a UK RIE

DISP 1.1 Purpose and application

As Published: 2001

DISP 1.1 Purpose and application

TC App 3.1 Circumstances in which TC does not apply

As Published: 2007

TC App 3.1 Circumstances in which TC does not apply

REC 2.7 Access to facilities

As Published: 2004

REC 2.7 Access to facilities

FIT 2.1 Honesty, integrity and reputation

As Published: 2003

FIT 2.1 Honesty, integrity and reputation

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

As Published: 2006

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent

As Published: 2004

SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

As Published: 2007

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

COND 2.4 Threshold condition 4: Adequate resources

As Published: 2004

COND 2.4 Threshold condition 4: Adequate resources

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

As Published: 2004

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading