Search Result

181 - 200 of 953 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 5.1 Introduction and legal background

As Published: 2001

REC 5.1 Introduction and legal background

SUP 14.6 Cancelling qualification for authorisation

As Published: 2004

SUP 14.6 Cancelling qualification for authorisation

DEPP 7.2 Interviews

As Published: 2007

DEPP 7.2 Interviews

COLL 4.2 Pre-sale notifications

As Published: 2006

COLL 4.2 Pre-sale notifications

REC 2.16 Complaints

As Published: 2004

REC 2.16 Complaints

COND 2.5 Threshold condition 5: Suitability

As Published: 2004

COND 2.5 Threshold condition 5: Suitability

RCB 2.3 Determination of registration

As Published: 2008

RCB 2.3 Determination of registration

SUP 4.3 Appointment of actuaries

As Published: 2004

SUP 4.3 Appointment of actuaries

REC 2.11 Custody

As Published: 2004

REC 2.11 Custody

LR 19.2 Requirements for listing

As Published: 2005

LR 19.2 Requirements for listing

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

As Published: 2004

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

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

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

REC 2.9 Transaction recording

As Published: 2004

REC 2.9 Transaction recording

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

LR 5.2 Cancelling listing

As Published: 2007

LR 5.2 Cancelling listing

COLL 8.3 Investor relations

As Published: 2006

COLL 8.3 Investor relations

COBS 11.2 Best execution

As Published: 2007

COBS 11.2 Best execution

COBS 4.6 Past, simulated past and future performance

As Published: 2007

COBS 4.6 Past, simulated past and future performance

PERG 2.5 Investments and activities: general

As Published: 2006

PERG 2.5 Investments and activities: general