Search Result

141 - 160 of 1049 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).

COLL 3.2 The instrument constituting the scheme

As Published: 2004

COLL 3.2 The instrument constituting the scheme

LR 19.4 Continuing obligations

As Published: 2006

LR 19.4 Continuing obligations

MCOB 9.4 Content of illustrations

As Published: 2004

MCOB 9.4 Content of illustrations

PR 1.2 Requirement for a prospectus and exemptions

As Published: 2009

PR 1.2 Requirement for a prospectus and exemptions

LR 10.7 Transactions by specialist companies

As Published: 2010

LR 10.7 Transactions by specialist companies

REC 5.2 Application process

As Published: 2007

REC 5.2 Application process

LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

DTR 4.2 Half-yearly financial reports

As Published: 2007

DTR 4.2 Half-yearly financial reports

GEN 2.2 Interpreting the Handbook

As Published: 2004

GEN 2.2 Interpreting the Handbook

TC 2.1 Assessing and maintaining competence

As Published: 2002

TC 2.1 Assessing and maintaining competence

SUP 11.3 Requirements on controllers or proposed controllers under the Act

As Published: 2001

SUP 11.3 Requirements on controllers or proposed controllers under the Act

PERG 2.11 What to do now ?

As Published: 2007

PERG 2.11 What to do now ?

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

As Published: 2006

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

SUP 11.4 Requirements on firms

As Published: 2004

SUP 11.4 Requirements on firms

COLL 6.12 Risk management policy and risk measurement

As Published: 2011

COLL 6.12 Risk management policy and risk measurement

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

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

As Published: 2011

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

PR 3.4 Supplementary prospectus

As Published: 2007

PR 3.4 Supplementary prospectus

PERG 13.7 The territorial application of MiFID

As Published: 2007

PERG 13.7 The territorial application of MiFID