Search Result

121 - 140 of 922 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).

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

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 3.1 Application

As Published: 2007

COBS 3.1 Application

LR 8.4 Role of a sponsor: transactions

As Published: 2007

LR 8.4 Role of a sponsor: transactions

COBS 19.1 Pension transfers and opt-outs

As Published: 2007

COBS 19.1 Pension transfers and opt-outs

COND 2.2 Threshold condition 2: Location of offices

As Published: 2004

COND 2.2 Threshold condition 2: Location of offices

SUP 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

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

SYSC 5.1 Skills, knowledge and expertise

As Published: 2006

SYSC 5.1 Skills, knowledge and expertise

COBS 18.1 Trustee Firms

As Published: 2007

COBS 18.1 Trustee Firms

CASS 6.4 Use of safe custody assets

As Published: 2007

CASS 6.4 Use of safe custody assets

LR 9.2 Requirements with continuing application

As Published: 2006

LR 9.2 Requirements with continuing application

MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

SUP 5.4 Appointment and reporting process

As Published: 2001

SUP 5.4 Appointment and reporting process

COLL Appendix 1EU KII Regulation

As Published: 2011

COLL Appendix 1EU KII Regulation

REC 2.7 Access to facilities

As Published: 2004

REC 2.7 Access to facilities

MCOB 2.8 Record keeping

As Published: 2006

MCOB 2.8 Record keeping

CASS 7A.3 Secondary pooling events

As Published: 2010

CASS 7A.3 Secondary pooling events

BIPRU 13.5 CCR standardised method

As Published: 2006

BIPRU 13.5 CCR standardised method

COLL 5.2 General investment powers and limits for UCITS schemes

As Published: 2005

COLL 5.2 General investment powers and limits for UCITS schemes