Search Result

181 - 200 of 1059 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 7.4 Winding up an AUT and terminating a sub-fund of an AUT

As Published: 2011

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

TC 2.1 Assessing and maintaining competence

As Published: 2002

TC 2.1 Assessing and maintaining competence

SUP 15.2 Purpose

As Published: 2005

SUP 15.2 Purpose

COBS 11.5 Record keeping: client orders and transactions

As Published: 2007

COBS 11.5 Record keeping: client orders and transactions

SUP 14.6 Cancelling qualification for authorisation

As Published: 2004

SUP 14.6 Cancelling qualification for authorisation

COBS 4.12 Unregulated collective investment schemes

As Published: 2007

COBS 4.12 Unregulated collective investment schemes

COBS 11.7 Personal account dealing

As Published: 2007

COBS 11.7 Personal account dealing

COLL 1.1 Applications and purpose

As Published: 2007

COLL 1.1 Applications and purpose

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

As Published: 2004

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

PR 4.1 Use of languages

As Published: 2005

PR 4.1 Use of languages

DTR 6.2 Filing information and use of language

As Published: 2007

DTR 6.2 Filing information and use of language

COLL Appendix 1EU KII Regulation

As Published: 2011

COLL Appendix 1EU KII Regulation

REC 1.1 Application

As Published: 2005

REC 1.1 Application

BIPRU 8.9A Consolidated large exposure requirements

As Published: 2010

BIPRU 8.9A Consolidated large exposure requirements

COBS 4.6 Past, simulated past and future performance

As Published: 2007

COBS 4.6 Past, simulated past and future performance

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?

COLL 5.8 Investment powers and borrowing limits for feeder UCITS

As Published: 2011

COLL 5.8 Investment powers and borrowing limits for feeder UCITS

MAR 6.1 Application

As Published: 2007

MAR 6.1 Application

PERG 8.12 Exemptions applying to all controlled activities

As Published: 2005

PERG 8.12 Exemptions applying to all controlled activities

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

As Published: 2007

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties