Search Result

181 - 200 of 768 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).

CREDS 10.1 Application and purpose

As Published: 2011

CREDS 10.1 Application and purpose

TC App 7.1 Guidelines for qualification gap-fill for retail investment advice

As Published: 2011

TC App 7.1 Guidelines for qualification gap-fill for retail investment advice

COLL 1.1 Applications and purpose

As Published: 2007

COLL 1.1 Applications and purpose

COBS 6.1 Information about the firm and compensation information

As Published: 2007

COBS 6.1 Information about the firm and compensation information

CASS 9.2 Prime broker's daily report to clients

As Published: 2010

CASS 9.2 Prime broker's daily report to clients

COBS 9.3 Guidance on assessing suitability

As Published: 2007

COBS 9.3 Guidance on assessing suitability

SYSC 5.1 Skills, knowledge and expertise

As Published: 2006

SYSC 5.1 Skills, knowledge and expertise

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)

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

As Published: 2005

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

MCOB 5.1 Application

As Published: 2004

MCOB 5.1 Application

SUP 12.2 Introduction

As Published: 2001

SUP 12.2 Introduction

COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

FEES 7.2 The CFEB levy

As Published: 2011

FEES 7.2 The CFEB levy

SUP 6.4 Applications for cancellation of permission

As Published: 2004

SUP 6.4 Applications for cancellation of permission

PERG 13.6 The recast Capital Adequacy Directive

As Published: 2007

PERG 13.6 The recast Capital Adequacy Directive

COLL 11.4 Depositaries

As Published: 2011

COLL 11.4 Depositaries

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

CASS 7A.1 Application and purpose

As Published: 2008

CASS 7A.1 Application and purpose

COBS 6.4 Disclosure of charges, remuneration and commission

As Published: 2007

COBS 6.4 Disclosure of charges, remuneration and commission

LR 19.4 Continuing obligations

As Published: 2006

LR 19.4 Continuing obligations