Search Result

121 - 140 of 881 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 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets

GEN 4.3 Letter disclosure

As Published: 2005

GEN 4.3 Letter disclosure

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

As Published: 2006

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

RCB 3.2 Annual confirmations of compliance

As Published: 2008

RCB 3.2 Annual confirmations of compliance

DEPP 6.2 Deciding whether to take action

As Published: 2007

DEPP 6.2 Deciding whether to take action

SUP 16.10 Verification of standing data

As Published: 2004

SUP 16.10 Verification of standing data

SUP 13A.3 Qualifications for authorisation under the Act

As Published: 2007

SUP 13A.3 Qualifications for authorisation under the Act

BIPRU 1.2 Definition of the trading book

As Published: 2010

BIPRU 1.2 Definition of the trading book

DEPP 5.1 Settlement decision makers

As Published: 2007

DEPP 5.1 Settlement decision makers

REC 4.5 FSA supervision of action by UK recognised bodies under their default rules

As Published: 2001

REC 4.5 FSA supervision of action by UK recognised bodies under their default rules

REC 2.16A Operation of a multilateral trading facility

As Published: 2007

REC 2.16A Operation of a multilateral trading facility

SUP App 2.15 Run-off plans for closed with-profits funds

As Published: 2005

SUP App 2.15 Run-off plans for closed with-profits funds

COBS 4.12 Unregulated collective investment schemes

As Published: 2007

COBS 4.12 Unregulated collective investment schemes

COBS 4.10 Systems and controls and approving and communicating financial promotions

As Published: 2007

COBS 4.10 Systems and controls and approving and communicating financial promotions

COBS 6.1 Information about the firm and compensation information

As Published: 2007

COBS 6.1 Information about the firm and compensation information

COBS 5.2 E-Commerce

As Published: 2007

COBS 5.2 E-Commerce

MAR 6.4 Systematic internaliser reporting requirement

As Published: 2007

MAR 6.4 Systematic internaliser reporting requirement

LR 9.6 Notifications

As Published: 2006

LR 9.6 Notifications

PERG 13.5 Exemptions from MiFID

As Published: 2007

PERG 13.5 Exemptions from MiFID

SUP 8.2 Introduction

As Published: 2003

SUP 8.2 Introduction