Search Result

81 - 100 of 889 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 8.1 Introduction

As Published: 2007

COLL 8.1 Introduction

TC 2.1 Assessing and maintaining competence

As Published: 2002

TC 2.1 Assessing and maintaining competence

PRIN 1.2 Clients and the Principles

As Published: 2004

PRIN 1.2 Clients and the Principles

COBS 3.6 Eligible counterparties

As Published: 2007

COBS 3.6 Eligible counterparties

PERG 8.32 Arranging deals in investments

As Published: 2005

PERG 8.32 Arranging deals in investments

PERG 8.25 Advice must relate to an investment which is a security or contractually based investment

As Published: 2006

PERG 8.25 Advice must relate to an investment which is a security or contractually based investment

BIPRU 7.6 Option PRR

As Published: 2007

BIPRU 7.6 Option PRR

PERG 9.6 The investment condition (section 236(3) of the Act): general

As Published: 2009

PERG 9.6 The investment condition (section 236(3) of the Act): general

COLL 6.7 Payments

As Published: 2005

COLL 6.7 Payments

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

As Published: 2005

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

COLL 6.2 Dealing

As Published: 2005

COLL 6.2 Dealing

COBS 4.8 Cold calls and other promotions that are not in writing

As Published: 2007

COBS 4.8 Cold calls and other promotions that are not in writing

COBS 2.2 Information disclosure before providing services

As Published: 2008

COBS 2.2 Information disclosure before providing services

COBS 9.5 Record keeping and retention periods for suitability records

As Published: 2007

COBS 9.5 Record keeping and retention periods for suitability records

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

PERG 8.28 Advice or information

As Published: 2005

PERG 8.28 Advice or information

COBS 11.6 Use of dealing commission

As Published: 2007

COBS 11.6 Use of dealing commission

COLL 8.2 Constitution

As Published: 2007

COLL 8.2 Constitution

COBS 11.3 Client order handling

As Published: 2011

COBS 11.3 Client order handling

PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)

As Published: 2005

PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)