Search Result

461 - 480 of 1102 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).

DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

SUP 4.5 Provisions applicable to all actuaries

As Published: 2004

SUP 4.5 Provisions applicable to all actuaries

COBS 8.1 Client agreements: designated investment business

As Published: 2007

COBS 8.1 Client agreements: designated investment business

SUP 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

COBS 4.12 Unregulated collective investment schemes

As Published: 2007

COBS 4.12 Unregulated collective investment schemes

SUP 5.4 Appointment and reporting process

As Published: 2001

SUP 5.4 Appointment and reporting process

COLL 1.1 Applications and purpose

As Published: 2007

COLL 1.1 Applications and purpose

BIPRU 4.7 The IRB approach: Equity exposures

As Published: 2007

BIPRU 4.7 The IRB approach: Equity exposures

SYSC 14.1 Application

As Published: 2006

SYSC 14.1 Application

PERG 4.13 Other exemptions

As Published: 2011

PERG 4.13 Other exemptions

PERG 8.20 Additional restriction on the promotion of collective investment schemes

As Published: 2005

PERG 8.20 Additional restriction on the promotion of collective investment schemes

LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent

As Published: 2004

SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent

SYSC 13.1 Application

As Published: 2006

SYSC 13.1 Application

COLL 6.10 Senior personnel responsibilities

As Published: 2011

COLL 6.10 Senior personnel responsibilities

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

As Published: 2004

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

ICOBS 4.4 Commission disclosure for commercial customers

As Published: 2008

ICOBS 4.4 Commission disclosure for commercial customers

SYSC 13.3 Other related Handbook sections

As Published: 2007

SYSC 13.3 Other related Handbook sections

PERG 9.7 The investment condition: the 'reasonable investor'

As Published: 2005

PERG 9.7 The investment condition: the 'reasonable investor'

SUP 7.1 Application and purpose

As Published: 2010

SUP 7.1 Application and purpose