Search Result

541 - 560 of 959 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 8.9 Circumstances where the restriction in section 21 does not apply

As Published: 2005

PERG 8.9 Circumstances where the restriction in section 21 does not apply

COLL 6.10 Senior personnel responsibilities

As Published: 2011

COLL 6.10 Senior personnel responsibilities

MAR 1.2 Market Abuse: general

As Published: 2002

MAR 1.2 Market Abuse: general

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

COBS 4.7 Direct offer financial promotions

As Published: 2007

COBS 4.7 Direct offer financial promotions

MCOB 5.1 Application

As Published: 2004

MCOB 5.1 Application

LR 9.3 Continuing obligations: holders

As Published: 2006

LR 9.3 Continuing obligations: holders

PERG 15.6 Territorial scope

As Published: 2009

PERG 15.6 Territorial scope

DISP App 3.7 Approach to redress

As Published: 2011

DISP App 3.7 Approach to redress

REC 2.10 Financial crime and market abuse

As Published: 2004

REC 2.10 Financial crime and market abuse

SUP App 3.2 Purpose

As Published: 2004

SUP App 3.2 Purpose

SYSC 1.1A Application

As Published: 2008

SYSC 1.1A Application

SUP 13.10 Applicable provisions

As Published: 2001

SUP 13.10 Applicable provisions

SUP 5.1 Application and purpose

As Published: 2001

SUP 5.1 Application and purpose

SUP 3.5 Auditors' independence

As Published: 2008

SUP 3.5 Auditors' independence

REC 3.2 Form and method of notification

As Published: 2001

REC 3.2 Form and method of notification

SYSC 13.7 Processes and systems

As Published: 2007

SYSC 13.7 Processes and systems

COLL Appendix 1EU KII Regulation

As Published: 2011

COLL Appendix 1EU KII Regulation

PERG 8.7 Engage in investment activity

As Published: 2011

PERG 8.7 Engage in investment activity

PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance

As Published: 2005

PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance