Search Result

201 - 240 of 960 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 6.12 Risk management policy and risk measurement

As Published: 2011

COLL 6.12 Risk management policy and risk measurement

SUP 14.6 Cancelling qualification for authorisation

As Published: 2004

SUP 14.6 Cancelling qualification for authorisation

PERG 13.1 Introduction

As Published: 2007

PERG 13.1 Introduction

SUP 7.3 Criteria for varying a firm's permission

As Published: 2004

SUP 7.3 Criteria for varying a firm's permission

PERG 8.5 In the course of business

As Published: 2005

PERG 8.5 In the course of business

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

SUP 8.4 Reliance on waivers

As Published: 2001

SUP 8.4 Reliance on waivers

PERG 7.7 Post-certification issues

As Published: 2005

PERG 7.7 Post-certification issues

MCOB 1.2 General application: who? what?

As Published: 2005

MCOB 1.2 General application: who? what?

SUP 5.4 Appointment and reporting process

As Published: 2001

SUP 5.4 Appointment and reporting process

SUP 13.6 Changes to branches

As Published: 2001

SUP 13.6 Changes to branches

REC 2.2 Method of satisfying the recognition requirements

As Published: 2004

REC 2.2 Method of satisfying the recognition requirements

DISP 2.5 To which activities does the Voluntary Jurisdiction apply?

As Published: 2005

DISP 2.5 To which activities does the Voluntary Jurisdiction apply?

SUP 8.2 Introduction

As Published: 2003

SUP 8.2 Introduction

DTR 1.5 Fees, market abuse safe harbours and sanctions

As Published: 2005

DTR 1.5 Fees, market abuse safe harbours and sanctions

PERG 4.2 Introduction

As Published: 2005

PERG 4.2 Introduction

REC 3.26 Proposals to make regulatory provision

As Published: 2007

REC 3.26 Proposals to make regulatory provision

SUP 11.5 Notifications by firms

As Published: 2004

SUP 11.5 Notifications by firms

PERG 8.3 Financial promotion

As Published: 2005

PERG 8.3 Financial promotion

RCB 6.2 Policy on decision and warning notices

As Published: 2008

RCB 6.2 Policy on decision and warning notices

PERG 3A.5 Exclusions

As Published: 2011

PERG 3A.5 Exclusions

LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

PERG 8.1 Application and purpose

As Published: 2005

PERG 8.1 Application and purpose

LR App 1.1 Relevant definitions

As Published: 2005

LR App 1.1 Relevant definitions

DEPP 3.2 The operation of the RDC

As Published: 2007

DEPP 3.2 The operation of the RDC

SUP 7.1 Application and purpose

As Published: 2010

SUP 7.1 Application and purpose

SYSC 6.2 Internal audit

As Published: 2007

SYSC 6.2 Internal audit

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

PERG 7.4 Does the article 54 exclusion apply?

As Published: 2006

PERG 7.4 Does the article 54 exclusion apply?

DEPP 6A.3 Determining the appropriate length of the period of suspension or restriction

As Published: 2011

DEPP 6A.3 Determining the appropriate length of the period of suspension or restriction

COLL 5.2 General investment powers and limits for UCITS schemes

As Published: 2005

COLL 5.2 General investment powers and limits for UCITS schemes

COLL 6.2 Dealing

As Published: 2005

COLL 6.2 Dealing

SYSC 4.4 Apportionment of responsibilities

As Published: 2008

SYSC 4.4 Apportionment of responsibilities

GEN 1.3 Emergency

As Published: 2003

GEN 1.3 Emergency

PERG 10.1 Background

As Published: 2006

PERG 10.1 Background

PERG 7.2 Introduction

As Published: 2006

PERG 7.2 Introduction

PERG 8.9 Circumstances where the restriction in section 21 does not apply

As Published: 2005

PERG 8.9 Circumstances where the restriction in section 21 does not apply

DISP 2.6 What is the territorial scope of the relevant jurisdiction?

As Published: 2003

DISP 2.6 What is the territorial scope of the relevant jurisdiction?

PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services