Search Result

761 - 780 of 998 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).

PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)

As Published: 2005

PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)

PERG 13.1 Introduction

As Published: 2007

PERG 13.1 Introduction

ICOBS 5.3 Advised sales

As Published: 2008

ICOBS 5.3 Advised sales

MCOB 12.1 Application

As Published: 2006

MCOB 12.1 Application

CASS 3.1 Application and Purpose

As Published: 2007

CASS 3.1 Application and Purpose

SUP 11.1 Application

As Published: 2001

SUP 11.1 Application

SUP 3.7 Notification of matters raised by auditor

As Published: 2004

SUP 3.7 Notification of matters raised by auditor

TC 3.1 Record-keeping requirements

As Published: 2007

TC 3.1 Record-keeping requirements

FEES 2.2 Late Payments and Recovery of Unpaid Fees

As Published: 2006

FEES 2.2 Late Payments and Recovery of Unpaid Fees

SUP 16.6 Compliance reports

As Published: 2001

SUP 16.6 Compliance reports

BIPRU 12.7 Liquid assets buffer

As Published: 2009

BIPRU 12.7 Liquid assets buffer

PERG 1.4 General guidance to be found in PERG

As Published: 2006

PERG 1.4 General guidance to be found in PERG

SUP 13.10 Applicable provisions

As Published: 2001

SUP 13.10 Applicable provisions

COBS 18.5 Operators of collective investment schemes

As Published: 2007

COBS 18.5 Operators of collective investment schemes

SUP 13A.6 Which rules will an incoming EEA firm be subject to?

As Published: 2007

SUP 13A.6 Which rules will an incoming EEA firm be subject to?

SUP App 3.2 Purpose

As Published: 2004

SUP App 3.2 Purpose

PERG 14.7 Exemptions

As Published: 2010

PERG 14.7 Exemptions

PERG 12.4 Application of EU Directives

As Published: 2006

PERG 12.4 Application of EU Directives

LR 9.5 Transactions

As Published: 2007

LR 9.5 Transactions

PERG 14.2 General issues

As Published: 2006

PERG 14.2 General issues