Search Result

121 - 140 of 569 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).

COBS 12.1 Purpose and application

As Published: 2007

COBS 12.1 Purpose and application

COBS 3.8 Policies, procedures and records

As Published: 2007

COBS 3.8 Policies, procedures and records

COBS 10.3 Warning the client

As Published: 2007

COBS 10.3 Warning the client

SUP 12.2 Introduction

As Published: 2001

SUP 12.2 Introduction

COBS 11.5 Record keeping: client orders and transactions

As Published: 2007

COBS 11.5 Record keeping: client orders and transactions

COBS 10.4 Assessing appropriateness: when it need not be done

As Published: 2007

COBS 10.4 Assessing appropriateness: when it need not be done

PERG 10.1 Background

As Published: 2006

PERG 10.1 Background

GEN 4.5 Statements about authorisation and regulation by the FSA

As Published: 2008

GEN 4.5 Statements about authorisation and regulation by the FSA

DISP 2.7 Is the complainant eligible?

As Published: 2008

DISP 2.7 Is the complainant eligible?

COLL 11.6 Winding up, merger and division of master UCITS

As Published: 2011

COLL 11.6 Winding up, merger and division of master UCITS

DEPP 2.5 Provision for certain categories of decision

As Published: 2007

DEPP 2.5 Provision for certain categories of decision

COLL 6.3 Valuation and pricing

As Published: 2006

COLL 6.3 Valuation and pricing

CASS 1.4 Application: particular activities

As Published: 2007

CASS 1.4 Application: particular activities

SUP 16.12 Integrated Regulatory Reporting

As Published: 2006

SUP 16.12 Integrated Regulatory Reporting

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

As Published: 2005

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

COBS 7.1 Application

As Published: 2007

COBS 7.1 Application

DISP App 3.1 Introduction

As Published: 2010

DISP App 3.1 Introduction

MCOB 6.8 Home purchase plans

As Published: 2006

MCOB 6.8 Home purchase plans

SUP 2.4 'Mystery shopping'

As Published: 2005

SUP 2.4 'Mystery shopping'

SUP 13.12 Sources of further information

As Published: 2001

SUP 13.12 Sources of further information