Search Result

141 - 160 of 987 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).

REC 4.6 The section 296 power to give directions

As Published: 2007

REC 4.6 The section 296 power to give directions

PERG 13.7 The territorial application of MiFID

As Published: 2007

PERG 13.7 The territorial application of MiFID

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

PERG 8.2 Introduction

As Published: 2007

PERG 8.2 Introduction

FEES 3.2 Obligation to pay fees

As Published: 2006

FEES 3.2 Obligation to pay fees

REC 4.2A Publication of information by UK RIEs and RAPs

As Published: 2007

REC 4.2A Publication of information by UK RIEs and RAPs

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

SUP 7.2 The FSA's powers to set individual requirements on its own initiative

As Published: 2007

SUP 7.2 The FSA's powers to set individual requirements on its own initiative

COBS 20.2 Treating with-profits policyholders fairly

As Published: 2009

COBS 20.2 Treating with-profits policyholders fairly

COBS 2.4 Agent as client and reliance on others

As Published: 2007

COBS 2.4 Agent as client and reliance on others

SUP 5.4 Appointment and reporting process

As Published: 2001

SUP 5.4 Appointment and reporting process

SUP 16.1 Application

As Published: 2001

SUP 16.1 Application

PERG 5.13 Appointed representatives

As Published: 2005

PERG 5.13 Appointed representatives

SUP 12.7 Notification requirements

As Published: 2002

SUP 12.7 Notification requirements

REC 2.16A Operation of a multilateral trading facility

As Published: 2007

REC 2.16A Operation of a multilateral trading facility

SUP 13.3 Establishing a branch in another EEA State

As Published: 2001

SUP 13.3 Establishing a branch in another EEA State

LR 7.2 The Listing Principles

As Published: 2009

LR 7.2 The Listing Principles

COND 2.2 Threshold condition 2: Location of offices

As Published: 2004

COND 2.2 Threshold condition 2: Location of offices

COLL 12.3 EEA UCITS management companies

As Published: 2011

COLL 12.3 EEA UCITS management companies