Search Result

41 - 60 of 122 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).

MAR 5.5 Monitoring compliance with the rules of the MTF

As Published: 2003

MAR 5.5 Monitoring compliance with the rules of the MTF

REC 3.21 Criminal offences and civil prohibitions

As Published: 2001

REC 3.21 Criminal offences and civil prohibitions

SUP 13.11 Record keeping

As Published: 2007

SUP 13.11 Record keeping

DISP 1.1 Purpose and application

As Published: 2001

DISP 1.1 Purpose and application

REC 2.5 Systems and controls and conflicts

As Published: 2004

REC 2.5 Systems and controls and conflicts

SUP 15.3 General notification requirements

As Published: 2004

SUP 15.3 General notification requirements

SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose

SUP 17.2 Making transaction reports

As Published: 2007

SUP 17.2 Making transaction reports

PERG 2.11 What to do now ?

As Published: 2007

PERG 2.11 What to do now ?

FEES 4.4 Information on which Fees are calculated

As Published: 2007

FEES 4.4 Information on which Fees are calculated

GEN 2.2 Interpreting the Handbook

As Published: 2004

GEN 2.2 Interpreting the Handbook

SYSC 4.1 General requirements

As Published: 2002

SYSC 4.1 General requirements

PERG 13.5 Exemptions from MiFID

As Published: 2007

PERG 13.5 Exemptions from MiFID

PERG 13.6 The recast Capital Adequacy Directive

As Published: 2007

PERG 13.6 The recast Capital Adequacy Directive

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

As Published: 2005

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

FEES 6.7 Payment of levies

As Published: 2008

FEES 6.7 Payment of levies

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

SUP 15.6 Inaccurate, false or misleading information

As Published: 2005

SUP 15.6 Inaccurate, false or misleading information

REC 6.3 Recognition requirements

As Published: 2004

REC 6.3 Recognition requirements

REC 3.14 Products, services and normal hours of operation

As Published: 2007

REC 3.14 Products, services and normal hours of operation