Search Result

401 - 440 of 1121 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).

FEES 5.8 Joining the Financial Ombudsman Service

As Published: 2009

FEES 5.8 Joining the Financial Ombudsman Service

DEPP 6.6 Financial penalties for late and incomplete submission of reports

As Published: 2010

DEPP 6.6 Financial penalties for late and incomplete submission of reports

ICOBS 5.2 Statement of demands and needs

As Published: 2008

ICOBS 5.2 Statement of demands and needs

DTR 1.5 Fees, market abuse safe harbours and sanctions

As Published: 2005

DTR 1.5 Fees, market abuse safe harbours and sanctions

REC 3.14A Operation of a regulated market or MTF

As Published: 2007

REC 3.14A Operation of a regulated market or MTF

COBS 14.3 Information about designated investments

As Published: 2007

COBS 14.3 Information about designated investments

SUP 16.14 Client money and asset return

As Published: 2010

SUP 16.14 Client money and asset return

COBS 4.6 Past, simulated past and future performance

As Published: 2007

COBS 4.6 Past, simulated past and future performance

PERG 8.22 The Internet

As Published: 2005

PERG 8.22 The Internet

DISP 2.1 Purpose, interpretation and application

As Published: 2003

DISP 2.1 Purpose, interpretation and application

SUP 3.11 Review of auditor’s client assets report

As Published: 2011

SUP 3.11 Review of auditor’s client assets report

SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose

REC 3.4 Key individuals and internal organisation

As Published: 2007

REC 3.4 Key individuals and internal organisation

PERG 8.23 Regulated activities

As Published: 2006

PERG 8.23 Regulated activities

PERG 4.3 Regulated activities related to mortgages

As Published: 2005

PERG 4.3 Regulated activities related to mortgages

SUP 8.5 Notification of altered circumstances relating to waivers

As Published: 2001

SUP 8.5 Notification of altered circumstances relating to waivers

PERG 5.5 The regulated activities: dealing in contracts as agent

As Published: 2005

PERG 5.5 The regulated activities: dealing in contracts as agent

PERG 8.18 Financial promotions concerning the Lloyd’s market

As Published: 2007

PERG 8.18 Financial promotions concerning the Lloyd’s market

DEPP 1.1 Application and Purpose

As Published: 2007

DEPP 1.1 Application and Purpose

REC 3.2 Form and method of notification

As Published: 2001

REC 3.2 Form and method of notification

MIPRU 3.2 Professional indemnity insurance requirements

As Published: 2006

MIPRU 3.2 Professional indemnity insurance requirements

BIPRU 3.2 The central principles of the standardised approach to credit risk

As Published: 2006

BIPRU 3.2 The central principles of the standardised approach to credit risk

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)

PERG 1.5 What other guidance about the perimeter is available from the FSA?

As Published: 2006

PERG 1.5 What other guidance about the perimeter is available from the FSA?

MCOB 9.3 Pre-application disclosure

As Published: 2004

MCOB 9.3 Pre-application disclosure

SYSC 19A.1 General application and purpose

As Published: 2010

SYSC 19A.1 General application and purpose

SUP 16.9 Appointed representatives annual report

As Published: 2002

SUP 16.9 Appointed representatives annual report

DEPP 6.5 Determining the appropriate level of financial penalty

As Published: 2008

DEPP 6.5 Determining the appropriate level of financial penalty

PERG 8.10 Types of financial promotion

As Published: 2005

PERG 8.10 Types of financial promotion

APER 4.6 Statement of Principle 6

As Published: 2001

APER 4.6 Statement of Principle 6

COLL 7.5 Schemes or sub-funds that are not commercially viable

As Published: 2004

COLL 7.5 Schemes or sub-funds that are not commercially viable

FIT 2.3 Financial soundness

As Published: 2001

FIT 2.3 Financial soundness

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

As Published: 2005

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

BIPRU 4.2 The IRB approach: High level material

As Published: 2006

BIPRU 4.2 The IRB approach: High level material

MCOB 7.6 Mortgages: event-driven information

As Published: 2004

MCOB 7.6 Mortgages: event-driven information

REC 3.15 Suspension of services and inability to operate facilities

As Published: 2007

REC 3.15 Suspension of services and inability to operate facilities

COLL 4.4 Meetings of Unitholders and service of notices

As Published: 2006

COLL 4.4 Meetings of Unitholders and service of notices

BIPRU 7.9 Use of a CAD 1 model

As Published: 2007

BIPRU 7.9 Use of a CAD 1 model

REC 3.8 Financial and other information

As Published: 2001

REC 3.8 Financial and other information

DEPP 7.1 Application and purpose

As Published: 2007

DEPP 7.1 Application and purpose