Search Result

101 - 120 of 420 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).

COLL 3.3 Units

As Published: 2007

COLL 3.3 Units

REC 3.14A Operation of a regulated market or MTF

As Published: 2007

REC 3.14A Operation of a regulated market or MTF

DTR 5.11 Non EEA State issuers

As Published: 2007

DTR 5.11 Non EEA State issuers

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)

BIPRU 7.8 Securities underwriting

As Published: 2007

BIPRU 7.8 Securities underwriting

CRED 10.1 Application and purpose

As Published: 2003

CRED 10.1 Application and purpose

REC 2.5 Systems and controls and conflicts

As Published: 2004

REC 2.5 Systems and controls and conflicts

BIPRU 1.2 Definition of the trading book

As Published: 2007

BIPRU 1.2 Definition of the trading book

DTR 4.4 Exemptions

As Published: 2007

DTR 4.4 Exemptions

REC 3.1 Application and purpose

As Published: 2001

REC 3.1 Application and purpose

TC 1.1 Who, what and where?

As Published: 2002

TC 1.1 Who, what and where?

REC 3.2 Form and method of notification

As Published: 2001

REC 3.2 Form and method of notification

SUP 14.2 Changes to branch details

As Published: 2001

SUP 14.2 Changes to branch details

SUP 14.3 Changes to cross border services

As Published: 2002

SUP 14.3 Changes to cross border services

REC 6.7 Notification rules for overseas recognised bodies

As Published: 2001

REC 6.7 Notification rules for overseas recognised bodies

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

REC 3.26 Proposals to make regulatory provision

As Published: 2007

REC 3.26 Proposals to make regulatory provision

SUP 11.5 Form of notification by firms

As Published: 2004

SUP 11.5 Form of notification by firms

SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

As Published: 2006

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing