Search Result

761 - 780 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).

LR 16.3 Listing applications

As Published: 2008

LR 16.3 Listing applications

MCOB 2.8 Record keeping

As Published: 2006

MCOB 2.8 Record keeping

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

MAR 4.1 Application and Purpose

As Published: 2001

MAR 4.1 Application and Purpose

COBS 4.3 Financial promotions to be identifiable as such

As Published: 2009

COBS 4.3 Financial promotions to be identifiable as such

COBS 10.5 Assessing appropriateness: guidance

As Published: 2007

COBS 10.5 Assessing appropriateness: guidance

ICOBS 2.3 Inducements

As Published: 2008

ICOBS 2.3 Inducements

CASS 9.1 Application

As Published: 2010

CASS 9.1 Application

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

COBS 3.1 Application

As Published: 2007

COBS 3.1 Application

COBS 2.1 Acting honestly, fairly and professionally

As Published: 2007

COBS 2.1 Acting honestly, fairly and professionally

COBS 4.4 Compensation information

As Published: 2009

COBS 4.4 Compensation information

MIPRU 2.1 Application and purpose

As Published: 2006

MIPRU 2.1 Application and purpose

LR 10.2 Classifying transactions

As Published: 2007

LR 10.2 Classifying transactions

COBS 12.2 Investment research

As Published: 2007

COBS 12.2 Investment research

LR 9.5 Transactions

As Published: 2007

LR 9.5 Transactions

REC 3.18 Membership

As Published: 2010

REC 3.18 Membership

MAR 1.3 Market abuse (insider dealing)

As Published: 2005

MAR 1.3 Market abuse (insider dealing)

PERG 4.17 Interaction with the Consumer Credit Act

As Published: 2005

PERG 4.17 Interaction with the Consumer Credit Act

SYSC 13.6 People

As Published: 2007

SYSC 13.6 People