Search Result

261 - 280 of 961 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 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

REC 4.2B Exercise of passport rights by a UK RIE

As Published: 2007

REC 4.2B Exercise of passport rights by a UK RIE

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 6.3 Applications for variation of permission

As Published: 2001

SUP 6.3 Applications for variation of permission

PERG 7.3 Does the activity require authorisation?

As Published: 2006

PERG 7.3 Does the activity require authorisation?

PERG 13.5 Exemptions from MiFID

As Published: 2007

PERG 13.5 Exemptions from MiFID

LR 17.4 [deleted]

As Published: 2006

LR 17.4 [deleted]

MAR 1.4 Market abuse (improper disclosure)

As Published: 2001

MAR 1.4 Market abuse (improper disclosure)

DISP 1.3 Complaints handling rules

As Published: 2003

DISP 1.3 Complaints handling rules

DTR 5.2 Acquisition or disposal of major proportions of voting rights

As Published: 2007

DTR 5.2 Acquisition or disposal of major proportions of voting rights

PR 4.2 Third country issuers

As Published: 2005

PR 4.2 Third country issuers

FEES 1.1 Application and Purpose

As Published: 2005

FEES 1.1 Application and Purpose

PERG 9.6 The investment condition (section 236(3) of the Act): general

As Published: 2009

PERG 9.6 The investment condition (section 236(3) of the Act): general

REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

PR 2.5 Omission of information

As Published: 2005

PR 2.5 Omission of information

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

As Published: 2005

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives

As Published: 2007

BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives

PR 3.4 Supplementary prospectus

As Published: 2007

PR 3.4 Supplementary prospectus

MIPRU 2.2 Allocation of the responsibility for insurance mediation activity

As Published: 2007

MIPRU 2.2 Allocation of the responsibility for insurance mediation activity

BIPRU 4.4 The IRB approach: Exposures to corporates, institutions and sovereigns

As Published: 2006

BIPRU 4.4 The IRB approach: Exposures to corporates, institutions and sovereigns