Search Result

161 - 180 of 1019 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 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

As Published: 2010

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

DEPP 6A.1 Introduction

As Published: 2010

DEPP 6A.1 Introduction

LR 7.2 The Listing Principles

As Published: 2009

LR 7.2 The Listing Principles

PERG 5.11 Other aspects of exclusions

As Published: 2006

PERG 5.11 Other aspects of exclusions

ICOBS 6.1 General

As Published: 2007

ICOBS 6.1 General

REC 2.8 Settlement and clearing services

As Published: 2004

REC 2.8 Settlement and clearing services

SUP 14.6 Cancelling qualification for authorisation

As Published: 2004

SUP 14.6 Cancelling qualification for authorisation

PERG 13.7 The territorial application of MiFID

As Published: 2007

PERG 13.7 The territorial application of MiFID

REC 6.3 Recognition requirements

As Published: 2004

REC 6.3 Recognition requirements

DTR 1B.1 Application and purpose (Corporate governance)

As Published: 2008

DTR 1B.1 Application and purpose (Corporate governance)

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

SUP 16.1 Application

As Published: 2001

SUP 16.1 Application

SYSC 4.4 Apportionment of responsibilities

As Published: 2008

SYSC 4.4 Apportionment of responsibilities

SUP 7.2 The FSA's powers to set individual requirements on its own initiative

As Published: 2007

SUP 7.2 The FSA's powers to set individual requirements on its own initiative

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

As Published: 2009

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

REC 4.8 The section 298 procedure

As Published: 2007

REC 4.8 The section 298 procedure

SUP 9.4 Reliance on individual guidance

As Published: 2001

SUP 9.4 Reliance on individual guidance

RCB 3.2 Annual confirmations of compliance

As Published: 2008

RCB 3.2 Annual confirmations of compliance

REC 4.4 Complaints

As Published: 2011

REC 4.4 Complaints