Search Result

161 - 180 of 909 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).

SUP 16.11 Product Sales Data Reporting

As Published: 2004

SUP 16.11 Product Sales Data Reporting

BIPRU 5.8 Maturity mismatches

As Published: 2007

BIPRU 5.8 Maturity mismatches

DISP 1.11 The Society of Lloyd's

As Published: 2007

DISP 1.11 The Society of Lloyd's

CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

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

REC 5.2 Application process

As Published: 2007

REC 5.2 Application process

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

SYSC 6.3 Financial crime

As Published: 2008

SYSC 6.3 Financial crime

DEPP 5.1 Settlement decision makers

As Published: 2007

DEPP 5.1 Settlement decision makers

COBS 11.2 Best execution

As Published: 2007

COBS 11.2 Best execution

LR 10.2 Classifying transactions

As Published: 2007

LR 10.2 Classifying transactions

MIPRU 4.1 Application and purpose

As Published: 2006

MIPRU 4.1 Application and purpose

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

LR 14.3 Continuing obligations

As Published: 2006

LR 14.3 Continuing obligations

MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

PERG 5.11 Other aspects of exclusions

As Published: 2006

PERG 5.11 Other aspects of exclusions

RCB 3.2 Annual confirmations of compliance

As Published: 2008

RCB 3.2 Annual confirmations of compliance

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

As Published: 2007

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

SUP 7.3 Criteria for varying a firm's permission

As Published: 2004

SUP 7.3 Criteria for varying a firm's permission

PERG 2.8 Exclusions applicable to particular regulated activities

As Published: 2005

PERG 2.8 Exclusions applicable to particular regulated activities