Search Result

421 - 440 of 1108 items.

Search Term(s)

Filter by Topics

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 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

As Published: 2004

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

…

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

…

CREDS 2.1 Application and purpose

As Published: 2011

CREDS 2.1 Application and purpose

…

SUP 8.1 Application and purpose

As Published: 2003

SUP 8.1 Application and purpose

…

COBS 18.11 Authorised professional firms

As Published: 2007

COBS 18.11 Authorised professional firms

…

DISP 1.3 Complaints handling rules

As Published: 2003

DISP 1.3 Complaints handling rules

…

SUP App 2.1 Application

As Published: 2004

SUP App 2.1 Application

…

REC 3.6 Constitution and governance

As Published: 2001

REC 3.6 Constitution and governance

…

SUP 9.4 Reliance on individual guidance

As Published: 2001

SUP 9.4 Reliance on individual guidance

…

LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

…

COBS 17.1 Providing information to claimants and dealing with claims

As Published: 2007

COBS 17.1 Providing information to claimants and dealing with claims

…

COLL 4.5 Reports and accounts

As Published: 2006

COLL 4.5 Reports and accounts

…

GEN 6.1 Payment of financial penalties

As Published: 2003

GEN 6.1 Payment of financial penalties

…

COBS 12.2 Investment research

As Published: 2007

COBS 12.2 Investment research

…

ICOBS 5.1 General

As Published: 2007

ICOBS 5.1 General

…

COLL 12.4 UCITS product passport

As Published: 2011

COLL 12.4 UCITS product passport

…

REC 6.2 Applications

As Published: 2007

REC 6.2 Applications

…

COLL 8.5 Powers and responsibilities

As Published: 2006

COLL 8.5 Powers and responsibilities

…

SUP 16.15 Reporting under the Electronic Money Regulations

As Published: 2011

SUP 16.15 Reporting under the Electronic Money Regulations

…

PERG 9.4 Collective investment scheme (section 235 of the Act)

As Published: 2011

PERG 9.4 Collective investment scheme (section 235 of the Act)

…