Search Result

301 - 320 of 1084 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).

MIPRU 4.3 Calculation of annual income

As Published: 2006

MIPRU 4.3 Calculation of annual income

COBS 10.4 Assessing appropriateness: when it need not be done

As Published: 2007

COBS 10.4 Assessing appropriateness: when it need not be done

RCB 1.1 Introduction to sourcebook

As Published: 2008

RCB 1.1 Introduction to sourcebook

COBS 11.5 Record keeping: client orders and transactions

As Published: 2007

COBS 11.5 Record keeping: client orders and transactions

REC 3.4 Key individuals and internal organisation

As Published: 2007

REC 3.4 Key individuals and internal organisation

BIPRU 1.2 Definition of the trading book

As Published: 2010

BIPRU 1.2 Definition of the trading book

COBS 3.7 Providing clients with a higher level of protection

As Published: 2007

COBS 3.7 Providing clients with a higher level of protection

COBS 1.1 The general application rule

As Published: 2007

COBS 1.1 The general application rule

COBS 3.6 Eligible counterparties

As Published: 2007

COBS 3.6 Eligible counterparties

COBS 3.5 Professional clients

As Published: 2007

COBS 3.5 Professional clients

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

As Published: 2006

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

As Published: 2011

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

SUP 21.1 Form of waiver for energy market participants

As Published: 2003

SUP 21.1 Form of waiver for energy market participants

MCOB 9.8 Disclosure after sale: lifetime mortgages

As Published: 2004

MCOB 9.8 Disclosure after sale: lifetime mortgages

SUP 17.1 Application

As Published: 2007

SUP 17.1 Application

REC 2.13 Promotion and maintenance of standards

As Published: 2004

REC 2.13 Promotion and maintenance of standards

SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

SUP 13A.4 EEA firms establishing a branch in the United Kingdom

As Published: 2007

SUP 13A.4 EEA firms establishing a branch in the United Kingdom

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